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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2011-04-14 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Northwestern Mutual Life Insurance Company | Milwaukee | WI | 08/1990 | Present |
| Northwestern Mutual Investment Services, Llc | Boston | MA | 10/1994 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 11/2014 | 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. 100% OWNER, SPRINGVALE, INC. (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 1/23/2023, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 41-79. ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-04-08 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-12 |
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