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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2007-10-24
  • MA RA
    APPROVED
    Since 2007-10-24

Branch Locations

1 Beacon St Fl 21, Boston, MA 02108 • 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 Milwaukee WI 08/1995 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 12/2007 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. 50% OWNER, D AND P MANAGEMENT LLC, 1 BEACON ST FL 25, BOSTON, , MASSACHUSETTS, 02108, UNITED STATES OF AMERICA, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 12/5/2014, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 3. 100% OWNER, DICERBO, LLC, LEGAL ENTITY, START DATE: 08/03/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 4. NEWBURY STORAGE LLC, 703 ROUTE 103A, NEWBURY, , NEW HAMPSHIRE, 03255, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 8/21/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, FRACTIONAL MEMBER OWNER OF A SELF STORAGE FACILITY WITH A THIRD PARTY MANAGEMENT COMPANY RUNNING IT. NO DAY TO DAY OTHER THAN COMMUNICATING WITH MANAGEMENT COMPANY; NON INVESTMENT-RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-04
S63 Uniform Securities Agent State Law Examination 1996-02-12
  • S66 Uniform Combined State Law Examination
    2007-09-04
  • S63 Uniform Securities Agent State Law Examination
    1996-02-12

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