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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2010-09-07
  • IA RA
    APPROVED
    Since 2010-09-07

Branch Locations

Clive, IA • United States

1245 Jordan Creek Pkwy Suite 200, W Des Moines, IA 50266 • 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 Life Milwaukee WI 12/1995 Present
Northwestern Mutual Investment Services, Llc Des Moines IA 01/1996 Present
Northwestern Mutual Investment Services, Llc. Des Monies IA 09/2010 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-02
S63 Uniform Securities Agent State Law Examination 1996-01-30
  • S65 Uniform Investment Adviser Law Examination
    2010-09-02
  • S63 Uniform Securities Agent State Law Examination
    1996-01-30

View on SEC IAPD

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