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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2007-04-12
  • OH RA
    APPROVED
    Since 2007-04-12

Branch Locations

3805 Edwards Road Suite 200, Cincinnati, OH 45209 • 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 Company Milwaukee WI 07/2005 Present
Northwestern Mutual Investment Services, Llc Cincinnati OH 07/2006 Present
Miami University Oxford OH 08/2003 Present
Northwestern Mutual Investment Services, Llc Cincinnati OH 04/2007 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 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. PWA HOLDINGS LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 3/16/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3. TREASURER, GIVE BACK CINCINNATI, FIDUCIARY CAPACITY, START DATE: 10/07/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I'M THE TREASURER OF THE PAINT THE TOWN PROGRAM OF GBC. 4. CLAIR MATIN LLC, 3006 PAXTON KNOLL LANE, CINCINNATI, , OHIO, 45208, UNITED STATES OF AMERICA, LEGAL ENTITY, START DATE: 6/10/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 5. OWNER, PWA HOLDINGS LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 3/16/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+; ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-09-18
  • S63 Uniform Securities Agent State Law Examination
    2008-09-18

View on SEC IAPD

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