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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-03-14 |
Branch Locations
1001 Highlands Plaza Dr Ste 320, Saint Louis, MO 63110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance | Milwaukee | WI | 05/1995 | Present |
| Northwestern Mutual Investment Services, Llc | Idaho Falls | ID | 11/2013 | 02/2021 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | Present |
| Northwestern Mutual Investment Services, Llc | Houston | TX | 03/2021 | 07/2026 |
| Northwestern Mutual Investment Services, Llc | Saint Louis | MO | 08/2026 | 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. SHOOTING STAR HOME OWNERS ASSOCIATION, INVESTMENT RELATED, 2020 CREEKSIDE LN VICTOR ID 83455, TREASURER, 08/2015, 5 HOURS PER MONTH. 2. TREASURER, SHOOTING STAR HOME OWNERS ASSOCIATION, 2020 CREEKSIDE LANE, VICTOR, , IDAHO, 83455, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 8/25/2015, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, SUBJECT TO BOARD APPROVAL, AS TREASURER I WOULD BE RESPONSIBLE FOR THE CHECKING ACCOUNT AND MAKE SUGGESTIONS OF WHERE BEST TO HOLD EXCESS FUNDS THAT WOULD BENEFIT THE HOA BETTER THAN INTEREST EARNED IN A CHECKING ACCOUNT.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-11 |
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