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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-07-13 |
| WA | RA | APPROVED | 2020-11-24 |
Branch Locations
920 Fifth Avenue Suite 1600, Seattle, WA 98104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services, Llc | Bellevue | WA | 01/2010 | 02/2020 |
| Northwestern Mutual Life Insurance Company | Bellevue | WA | 12/2008 | 02/2020 |
| Northwestern Mutual Wealth Management Company | Bellevue | WA | 01/2016 | 02/2020 |
| Massmutual Life Insurance Co | Seattle | WA | 03/2020 | Present |
| Mml Investors Services, Llc | Seattle | WA | 03/2020 | Present |
NAME: DAN ROSALES INV REL: Y ADDR: 920 FIFTH AVENUE, STE 1600, SEATTLE, WA 98104 NATURE: OUTSIDE INSURANCE SALES POSITION: INSURANCE BROKER START DATE: 07/01/2021 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0 DUTIES: LIFE, DISABILITY, LONG-TERM CARE, VARIABLE ANNUITIES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-11-14 |
| S63 | Uniform Securities Agent State Law Examination | 2010-04-26 |
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