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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2022-03-08 |
Branch Locations
2000 Shawnee Msn Pkwy Suite 115, Mission Woods, KS 66205 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 10/2008 | Present |
| Northwestern Mutual Investment Services, Llc | Mission Woods | KS | 10/2009 | Present |
| Expense Reduction Analysts | Cedar Rapids | IA | 05/2006 | 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. COACHING NM REPS, ANDREW WATTERS COACHING, BUSINESS RELATED COACHING, START DATE: 06/13/2017, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, COACHING NM FINANCIAL REPS FOR A FEE 3. 100% OWNER, SWP HOLDINGS, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 04/16/2024, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 4. 100% OWNER, WATTERS HOLDINGS, LLC, LEGAL ENTITY, START DATE: 04/16/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 2009-12-04 |
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