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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2005-12-01
  • MO RA
    APPROVED
    Since 2005-12-01

Branch Locations

622 Emerson Rd Ste 400, Saint Louis, MO 63141 • 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 Ins. Co Milwaukee WI 09/1995 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 04/1996 Present
Northwestern Mututal Wealth Management Company Milwaukee WI 06/2010 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 02/2013 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 09/1995 → Present
    Northwestern Mutual Life Ins. Co
    Milwaukee, WI
  • 04/1996 → Present
    Milwaukee, WI
  • 06/2010 → Present
    Northwestern Mututal Wealth Management Company
    Milwaukee, WI
  • 02/2013 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2003-07-22 → 2007-02-28
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES, OR INSURANCE BROKERAGE AGENCIES, NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS, NON INVESTMENT RELATED 2. 100% OWNER, HEMPSTEAD FINANCIAL GROUP, LLC, 701 MARKET STREET, SUITE 1070, ST. LOUIS, , MISSOURI, 63101, UNITED STATES OF AMERICA, LEGAL ENTITY, START DATE: 11/1/2011, HOURS PER MONTH: 80+, MANAGING PARTNER OF LEGAL ENTITY 3. LIFE ON PURPOSE, LLC, MP GENERAL AGENT LEGAL ENTITY, START DATE: 10/25/2019, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MANAGING PARTNER 4. COMMITTEE MEMBER, ROMAN CATHOLIC FOUNDATION, 12 ARCH BISHOP MAY DR, ST. LOUIS, , MISSOURI, 63119, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 8/22/2017, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, WITH THE REST OF THE COMMITTEE, MONITOR INVESTMENT PERFORMANCE OF THE FOUNDATION. 5. CONVENANT HOUSE OF MISSOURI - CHAIRMAN OF THE FINANCE COMMITTEE, 2727 N KINGSHIGHWAY BLVD, ST. LOUIS, , MISSOURI, 63113, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 7/10/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, CHAIRMAN OF THE FINANCE COMMITTEE 6. TREASURER, CHRISTIAN FELLOWSHIP COMMUNITY, NON-PROFIT, START DATE: 7/11/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER - LOOK OVER AUDITED FINANCIALS WITH THE BOARD...CHECK SIGNING FOR CHECKS OVER $2,500.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-23
S63 Uniform Securities Agent State Law Examination 1998-02-18
  • S66 Uniform Combined State Law Examination
    2005-11-23
  • S63 Uniform Securities Agent State Law Examination
    1998-02-18
Designations

View on SEC IAPD

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