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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2025-11-25
  • WI RA
    APPROVED
    Since 2025-11-25

Branch Locations

One Northwestern Mutual Way, Franklin, WI 53132 • United States

Disclosures

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.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Investment Services, Llc Milwaukee WI 06/2016 Present
Northwestern Mutual Life Insurance Company Milwaukee WV 06/2016 Present
Other Businesses

1. NOT QUITE A PREPPER LLC, NON-FINANCIAL SERVICES BUSINESS, START DATE: 01/18/2023, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 0-5, SELLING FREEZE DRIED SNACKS AND FOOD. 2.TREASURER, UNFOLD, STORIES THAT INSPIRE LLC, 422 SAND HILL LN, DOUSMAN, , WISCONSIN, 53118, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 02/05/2026, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, WORK WITH OTHER BOARD MEMBERS TO HELP MAKE DECISIONS REGARDING STRATEGY OF THE NON-PROFIT. NON-INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-30
S63 Uniform Securities Agent State Law Examination 2006-08-22
  • S65 Uniform Investment Adviser Law Examination
    2011-12-30
  • S63 Uniform Securities Agent State Law Examination
    2006-08-22

View on SEC IAPD

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