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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
SD RA APPROVED 2015-08-17
  • SD RA
    APPROVED
    Since 2015-08-17

Branch Locations

2307 W 57Th St Ste 200, Sioux Falls, SD 57108 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • 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 Ins. Co. Milwaukee WI 06/1994 Present
Northwestern Mutual Investment Services, Llc Sioux Falls SD 02/1997 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 06/1994 → Present
    Northwestern Mutual Life Ins. Co.
    Milwaukee, WI
  • 02/1997 → Present
    Sioux Falls, SD
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
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) MAKE A WISH FOUNDATION OF SOUTH DAKOTA, INVESTMENT COMMITTEE, <1 HR/MO. 3) 50% OWNER, SNAP LLC, ICE FISHING EQUIPMENT SALES, NOT INVESTMENT RELATED. 4. 33% OWNER, HOUG BROS, LLC, 47522 PONY MEADOW CT, SD, , SOUTH DAKOTA, 57055, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 08/18/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNERSHIP ONLY 5) 25% OWNER, COLD SNAP APPAREL LLC, 47522 PONY MEADOW CT, SD, , SOUTH DAKOTA, 57055, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 9/15/2023, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, MANAGE CLOTHING COMPANY; NOT INVESTMENT-RELATED. 6) 50% OWNER, COLDSNAP HOLDINGS, LLC, 441 1ST ST NW, GLENVILLE, , MINNESOTA, 56036, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 09/11/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, THIS IS AN ENTITY CREATED FOR COLDSNAP, LLC'S LAND/PROPERTY - FOR TAX PURPOSES. NON INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-08-01
S63 Uniform Securities Agent State Law Examination 1997-04-15
  • S65 Uniform Investment Adviser Law Examination
    2015-08-01
  • S63 Uniform Securities Agent State Law Examination
    1997-04-15

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