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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2015-02-04 |
Branch Locations
2345 Grand Blvd Ste 2000, Kansas City, MO 64108 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 07/2008 | Present |
| Northwestern Mutual Investment Services, Llc | Kansas City | MO | 12/2009 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | Present |
1. 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. 2. 100% OWNER, LAT HOLDINGS, LLC, LEGAL ENTITY, START DATE: 02/14/2023, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, NON-INVESTMENT RELATED. 3. TWP ENTERPRISES, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 2/14/2023, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2010-06-26 |
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