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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2007-11-13
  • PA RA
    APPROVED
    Since 2007-11-13

Branch Locations

600 Grant Street 3550 Us Steel Tower, Pittsburgh, PA 15219 • 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
Northwestern Mutual Life Insurance C Milwaukee WI 07/1990 Present
Northwestern Mutual Investment Services, Llc Pittsburgh PA 07/1994 Present
Northwestern Mutual Investment Services, Llc. Milwaukee WI 08/2007 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2015 Present
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) KEM FINANCIAL INC. OWNER, 5100 USX TOWER 600 GRANT ST PITTSBURGH PA 15219, ENTITY FORMED FOR TAX PURPOSES. 3) 100% OWNER STRATEGIC EMPLOYEE BENENFITS SERVICES, 5100 USX TOWER, 600 GRANT ST PITTSBURG PA 15219. OFFERS EMPLOYEE BENEFITS. IVESTMENT RELATED. KEM CAPITAL, LLC, 5100 USX TOWER, 600 GRANT ST, PITTSBURGH, PA 15219, ENTITY FORMED FOR TAX PURPOSES, PARENT COMPANY TO KEM FINANCIAL AND SEBS, 1 HR/MO, INVESTMENT-RELATED 4) 33% OWNER, 419 CAPITAL LLC, INVESTMENT PROPERTY, START DATE: 5/12/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PURCHASING COMMERCIAL BUILDING TO USE AS OFFICE AND ALSO RENT TO ADDITIONAL BUSINESS TENANTS. 5). ASSISTANT TREASURER, THE PARK MANSIONS, 5023 FREW STREET, PITTSBURGH, , PENNSYLVANIA, 15213, UNITED STATES OF AMERICA, PRIVATE, START DATE: 8/1/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, BOARD MEMBER FOR THE COOPERATIVE THAT MY WIFE AND I LIVE IN. IT IS SIMILAR TO AN HOA. I AM THE ASSISTANT TREASURER 6) FINANCE COMMITTEE MEMBER, OAKMONT COUNTRY CLUB, HULTON ROAD, OAKMONT, , PENNSYLVANIA, 15139, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 12/07/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I WILL BE SERVING ON THE FINANCE COMMITTEE 7) 100% OWNER, 752 OLD MORELAND, 752 OLD MORELAND, BLUFFTON, , SOUTH CAROLINA, 29909, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 8/15/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER/RENTAL, investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-27
S63 Uniform Securities Agent State Law Examination 1996-08-21
  • S66 Uniform Combined State Law Examination
    2007-08-27
  • S63 Uniform Securities Agent State Law Examination
    1996-08-21

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