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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-10-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services, Llc | Athens | GA | 03/2010 | 09/2022 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 10/2008 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | Present |
| Northwestern Mutual Investment Services | New York | NY | 09/2022 | 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; NON INVESTMENT-RELATED. 2. OWNER, J & B ACQUISITIONS, LLP, LEGAL ENTITY, START DATE: 8/8/2013, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 3. NBZ INSURANCE SERVICES, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 9/12/2018, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 4. CHEZ ROLEZ, LLC, LEGAL ENTITY, START DATE: 4/30/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 2010-06-02 |
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