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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2014-01-03
  • PA RA
    APPROVED
    Since 2014-01-03

Branch Locations

200 N High St Ste 300, West Chester, PA 19380 • 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 Company Milwaukee WI 08/2008 Present
Northwestern Mutual Investment Services, Llc York PA 07/2009 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 08/2008 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 07/2009 → Present
    York, PA
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

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) RESIDENTIAL RENTAL PROPERY, INVESTMENT-RELATED, 333 LANTERN LN, CHAMBERSBURG, PA 17201, 100% OWNER, MAY 1, 2014, 1 HOUR PER MONTH, MANAGE PROPERTY 3) 100% OWNER, BORN TO SERVE, LLC, LEGAL ENTITY, START DATE: 02/10/2022, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 4) OWNER, GOING FURTHER TOGETHER, LLC (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 2/10/2022, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 5) 33.33% OWNER, KRISE, BROEG & BOUSHELL, LLC, LEGAL ENTITY, START DATE: 02/10/2022, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-12-13
S63 Uniform Securities Agent State Law Examination 2010-07-06
  • S65 Uniform Investment Adviser Law Examination
    2013-12-13
  • S63 Uniform Securities Agent State Law Examination
    2010-07-06

View on SEC IAPD

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