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Brian Eugene Topping

Northwestern Mutual Investment Services, LLC

Albany, NY

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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

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

Branch Locations

1 Northwestern Blvd, Albany, NY 12211 • 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 Investment Services, Llc Latham NY 08/2007 Present
Alex Tronco Latham NY 06/2010 Present
Other Businesses

RENTAL PROPERTY, INVESTMENT RELATED, 141 BENSON ST ALBANY NY 12206, 100% OWNER, 2HRS/MO, MAINATIN APARTMENT

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-04-03
S63 Uniform Securities Agent State Law Examination 2005-11-11
  • S65 Uniform Investment Adviser Law Examination
    2013-04-03
  • S63 Uniform Securities Agent State Law Examination
    2005-11-11

View on SEC IAPD

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