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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-04-23
NV RA APPROVED 2015-11-10
  • CA RA
    APPROVED
    Since 2018-04-23
  • NV RA
    APPROVED
    Since 2015-11-10

Branch Locations

655 W Broadway Ste 1700, San Diego, CA 92101 • United States

San Diego, CA • 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
The Northwestern Mutual Life Insurance C Milwaukee WI 09/1992 11/2017
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
Garrett J Bleakley San Diego CA 11/2017 Present
Northwestern Mutual Investment Services, Llc San Diego CA 11/2017 Present
Northwestern Mutual Investment Services, Llc Latham NY 04/1994 10/2017
Other Businesses

1) 100% OWNER, THOMAS A STEWART INSURANCE SOLUTIONS INC, MP GENERAL AGENT LEGAL ENTITY, START DATE: 5/1/2018, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, PRESIDENT 2) 100% OWNER, THOMAS A. STEWART HOLDING COMPANY, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 11/21/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, DISCLOSING A WMC ENTITIY FORMATION

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-15
S63 Uniform Securities Agent State Law Examination 1994-04-21
  • S65 Uniform Investment Adviser Law Examination
    1999-12-15
  • S63 Uniform Securities Agent State Law Examination
    1994-04-21

View on SEC IAPD

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