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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2005-03-28 |
Branch Locations
13609 California St Ste 300, Omaha, NE 68154 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| University Of Nebraska | Omaha | NE | 08/1993 | Present |
| Northwestern Mutual Life Insurance Compa | Milwaukee | WI | 05/1994 | Present |
| Northwestern Mutual Investment Services, Llc | Omaha | NE | 12/1994 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2007 | 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. PRESENTER, BUSINESS SEMINAR, TBD, OMAHA, , NEBRASKA, 68114, UNITED STATES OF AMERICA, BUSINESS RELATED SEMINARS, START DATE: 6/8/2017, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, PRESENT FIRM BEST PRACTICES AND OUTLINE THE BENEFITS OF JOINT WORK. 4. 100% OWNER, HFOS, INC RECEIVING WMC AND RISK COMPENSATION, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 5/1/2021, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, WEALTH MANAGEMENT ADVISOR, OWNER 5. 88.35% OWNER, 4 WIZARDS, LLC (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 9/25/2021, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79; LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 6. SPEAKER, LIVING LEGACY, 14102 EAGLE RUN DR, OMAHA, , NEBRASKA, 68164, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 4/19/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, SPEAKING AT VARIOUS EO CHAPTERS; NON INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 1995-05-26 |
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