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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2005-03-28
  • NE RA
    APPROVED
    Since 2005-03-28

Branch Locations

13609 California St Ste 300, Omaha, NE 68154 • 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
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
  • 08/1993 → Present
    University Of Nebraska
    Omaha, NE
  • 05/1994 → Present
    Northwestern Mutual Life Insurance Compa
    Milwaukee, WI
  • 12/1994 → Present
    Omaha, NE
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2002-09-06 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 2002-05-14 → 2006-01-17
    Network Planning Advisors, L.L.C.
    Omaha, NE
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. 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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-10-04
S63 Uniform Securities Agent State Law Examination 1995-05-26
  • S65 Uniform Investment Adviser Law Examination
    2004-10-04
  • S63 Uniform Securities Agent State Law Examination
    1995-05-26
Designations

View on SEC IAPD

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