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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2021-02-17
  • OK RA
    APPROVED
    Since 2021-02-17

Branch Locations

6301 Waterford Blvd Ste 410, Oklahoma City, OK 73118 • 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
Midfirst Investment Services Oklahoma City OK 10/2012 11/2016
Arvest Wealth Management Edmond OK 12/2016 12/2019
Td Ameritrade Edmond OK 01/2020 12/2020
David Houston Oklahoma City OK 01/2021 Present
Northwestern Mutual Investment Services Llc Oklahoma City OK 02/2021 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 03/2021 Present
  • 10/2012 → 11/2016
    Midfirst Investment Services
    Oklahoma City, OK
  • 12/2016 → 12/2019
    Edmond, OK
  • 01/2020 → 12/2020
    Td Ameritrade
    Edmond, OK
  • 01/2021 → Present
    David Houston
    Oklahoma City, OK
  • 02/2021 → Present
    Oklahoma City, OK
  • 03/2021 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2020-02-07 → 2021-01-11
    Td Ameritrade, Inc.
    Oklahoma City, OK
  • 2020-02-07 → 2020-12-31
    Td Ameritrade Investment Management, Llc
    Edmund, OK
  • 2016-12-02 → 2019-12-20
    Oklahoma City, OK
    Tulsa, OK
    Ft Smith, AR
    Edmond, OK
  • 2014-01-21 → 2016-11-30
    Warr Acres, OK
  • 2012-11-01 → 2014-01-21
    Cetera Investment Services Llc
    Warr Acres, OK
    Yukon, OK
    Yukon, OK
    Yukon, OK
    Oklahoma City, OK
    Oklahoma City, OK
    Oklahoma City, OK
    Oklahoma City, OK
    Oklahoma City, OK
    Mustang, OK
    Oklahoma City, OK
    Oklahoma City, OK
  • 2012-10-01 → 2012-11-06
    Midwest City, OK
    Choctaw, OK
    Oklahoma City, OK
  • 2011-09-20 → 2012-10-01
    Chase Investment Services Corp.
    Oklahoma City, OK
    Choctaw, OK
    Midwest City, OK
Other Businesses

Name: Southwestern Christian University, Role: Adjunct Professor, Type: Teaching, Start Date: 08/01/2013, Investment Related?: No, Address: 7210 NW 39th Expressway, Bethany, OK 73008, Number of Hours/Mo: 3, Duties: Adjunct professor--Financial Management. NON-INVESTMENT RELATED. Name: Mid-America Christian University, Role: Adjunct professor, Type: Teaching, Start Date: 06/01/2011, Investment Related?: No, Address: 3500 SW119th, Oklahoma City, OK 73170, Number of Hours/Mo: 3, Duties: Adjunct teacher--Financial Management Name: Southern Nazarene University, Role: Adjunct professor, Type: Teaching, Start Date: 08/01/2014, Investment Related?: No, Address: Bethany. Oklahoma, 73008, Number of Hours/Mo: 4, Duties: Adjunct professor--Financial Management.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-09-19
S63 Uniform Securities Agent State Law Examination 1996-02-15
  • S65 Uniform Investment Adviser Law Examination
    2011-09-19
  • S63 Uniform Securities Agent State Law Examination
    1996-02-15
Other Names
  • James Kirk Baird
  • James K Baird

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