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Current Employers
Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2007-05-22
  • IL RA
    APPROVED
    Since 2007-05-22

Branch Locations

225 W Randolph St Ste 2000, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Nml Insurance Milwaukee WI 09/1993 Present
Northwestern Mutual Investment Services, Llc Chicago IL 12/1993 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
Previous Registrations
  • 2006-06-07 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. 2. TRUSTEE, BERNARD GOLDSTEIN IRREVOCABLE TRUST , IMMEDIATE FAMILY, START DATE: 12/5/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OVERSEE INVESTMENTS 3. TRUSTEE, BERNARD GOLDSTEIN MARITAL GST TRUST , IMMEDIATE FAMILY, START DATE: 12/5/2019, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, OVERSEE INVESTMENTS, PAY BILLS, MANAGE FINANCES 4. TRUSTEE, BERNARD GOLDSTEIN FAMILY GST TRUST , IMMEDIATE FAMILY, START DATE: 12/5/2019, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, OVERSEE INVESTMENTS, PAY BILLS, MANAGE FINANCES 5. TRUSTEE, NORENE GOLDSTEIN , IMMEDIATE FAMILY, START DATE: 12/5/2019, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, MY MOTHER'S HEALTH IS FAILING. SHE RESIGNED AS TRUSTEE. I AM SUCCESSOR TRUSTEE OF TRUST. PAY BILLS, OVERSEE INVESTMENTS. MANAGE FINANCES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-19
S63 Uniform Securities Agent State Law Examination 1994-01-25
  • S65 Uniform Investment Adviser Law Examination
    1999-11-19
  • S63 Uniform Securities Agent State Law Examination
    1994-01-25
Designations

View on SEC IAPD

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