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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2006-02-22
  • GA RA
    APPROVED
    Since 2006-02-22

Branch Locations

1104 N Peachtree Pkwy Ste 100, Peachtree Cty, GA 30269 • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Ins. Co Milwaukee WI 06/1984 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 10/1995 Present
Northwestern Mutual Investment Services, Llc Tyrone GA 02/2006 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 06/2014 Present
Other Businesses

1.RAW LOT, CATHEAD LANDING SUBDIVISION, DARIEN, GA, OWNER, INVESTMENT RELATED, 0 HOURS/MONTH. 2. RAW LOT, NHN FARM TO MARKET ROAD, KALISPELL, MT, OWNER, INVESTMENT RELATED, 0 HOURS/MONTH. 3. 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. 4. RENTAL PROPERTY, INVESTMENT RELATED. 1039 SANDY CREED RD, FAYETTEVILLE, GA 30214. 100% OWNER, SPENDS 2 HOURS/MONTH ON THIS ACTIVITY. START DATE 2/1/2015. 5 OWNER, WINDDANCE ASSOCIATES, LLC, LEGAL ENTITY, START DATE: 12/16/2019, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 6. 33.3% OWNER, CALIBURN PROPERTIES 1104 LLC, INVESTMENT PROPERTY, START DATE: 7/1/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OVERSEE THE MAINTENANCE OF OUR CURRENT OFFICE LOCATION 7. OWNER, GRACE HOLDINGS US, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 04/25/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-29
S63 Uniform Securities Agent State Law Examination 2000-08-28
  • S66 Uniform Combined State Law Examination
    2006-09-29
  • S63 Uniform Securities Agent State Law Examination
    2000-08-28
Designations
Other Names
  • Steve Hale

View on SEC IAPD

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