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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2015-06-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Ins Company | Milwaukee | WI | 01/1992 | Present |
| Northwestern Mutual Investment Services, Llc | Milwaukee | WI | 06/1994 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | Present |
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. HUNTERS TRACE LLC, 421 EMERY DRIVE HOOVER AL 35244, INVESTMENT-RELATED, ENTITY TO FACILITATE REAL ESTATE HOLDINGS, 100% OWNER, >1 HOUR PER MONTH 3. 50% OWNER, WISDOM PATH, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 02/21/2024, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 4. 100% OWNER, JAY DIXON AND ASSOCIATES, LLC, LEGAL ENTITY, START DATE: 02/21/2024, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-06 |
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