Best Investors Account Sign in
Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APP_PEND_IARCE 2026-01-01
  • TN RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

110 Triplett Ln, Knoxville, TN 37922 • 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 Milwaukee WI 09/1993 Present
The Northwestern Mutual Ins Co Milwaukee WI 09/1993 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 03/1995 Present
Northwestern Mutual Investment Services, Llc. Milwaukee WI 07/1995 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2011 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; NON INVESTMENT-RELATED. 2. OWNER, PKLP, LLC (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 10/19/2022, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40; ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 3. FINANCE COMMITTEE MEMBER, WALLACE MEMORIAL BAPTIST CHURCH, 701 MERCHANT DR., KNOXVILLE, , TENNESSEE, 37912, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 10/6/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I AM ON THE WALLACE MEMORIAL BAPTIST CHURCH FINANCE COMMITTEE; NON INVESTMENT-RELATED. 4. RENTAL PROPERTY (HELD IN THE KEATON FAMILY TRUST), 675 SCENIC GULF, UNIT 104A, MIRAMAR BEACH, , FLORIDA, 32550, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 7/7/2026, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER; INVESTMENT-RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-01
S63 Uniform Securities Agent State Law Examination 1997-11-17
  • S66 Uniform Combined State Law Examination
    2006-06-01
  • S63 Uniform Securities Agent State Law Examination
    1997-11-17

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Knoxville, TN

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor