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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MS RA APP_PEND_IARCE 2026-01-01
  • MS RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

400 S Broadway St, Tupelo, MS 38804 • 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 Insurance Co Milwaukee WI 08/1993 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 11/1997 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 08/1993 → Present
    Northwestern Mutual Life Insurance Co
    Milwaukee, WI
  • 11/1997 → Present
    Milwaukee, WI
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1) TREASURER, JIM'S PLACE TAILGATE GROUP, 1331 CHARLESTON GARDENS, TUPELO, , MISSISSIPPI, 38801, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 08/22/2018, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER - (COLLECT ANNUAL MEMBERSHIP DUES AND DISTRIBUTE CHECKS TO PAY EXPENSES OF THE GROUP) 2) 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. 3) 100% OWNER, OLEPUT PROPERTIES, LLC., 5368 TREE TOP DR., TUPELO, , MISSISSIPPI, 38801, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 7/1/2010, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ENTITY HOLDING REAL ESTATE PROPERTIES. BALANCE CHECK BOOK, DEPOSIT SOME RENT PMTS, TEXT REPAIR/SERVICE PROVIDERS; INVESTMENT-RELATED. 4) OLEPUT PROPERTIES, LLC., 5368 TREE TOP DR., TUPELO, , MISSISSIPPI, 38801, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 7/1/2010, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ENTITY HOLDING REAL ESTATE PROPERTIES. BALANCE CHECK BOOK, DEPOSIT SOME RENT PMTS, TEXT REPAIR/SERVICE PROVIDERS. INVESTMENT RELATED. 5) OLEPUT DEVELOPMENT LLC , 5368 TREE TOP DR., TUPELO, , MISSISSIPPI, 38801, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 8/10/2018, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, IT IS A RENTAL PROPERTY THAT HAS A 2 YEAR LEASE, THE TENTANT DIRECT DEOPOSITS THE RENT AND THE BANK DRAFTS THE MONTHLY PMT. SO, I BALANCE THE CHECKBOOK ONCE A MONTH AND CALL A REPAIRMAN IF NEEDED. INVESTMENT RELATED. 6) OWNER, TWIN RIVERS GROUP, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 4/1/2026, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-01-09
S63 Uniform Securities Agent State Law Examination 1998-11-06
  • S65 Uniform Investment Adviser Law Examination
    2013-01-09
  • S63 Uniform Securities Agent State Law Examination
    1998-11-06

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