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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2011-05-31 |
Branch Locations
3805 Edwards Road Suite 200, Cincinnati, OH 45209 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 03/2009 | Present |
| Northwestern Mutual Investment Services | Cincinnati | OH | 03/2009 | Present |
| Northwestern Mutual Investment Services, Llc | Cincinnati | OH | 06/2011 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 12/2014 | 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) 100% OWNER, AJS CINCY, LLC, LEGAL ENTITY, START DATE: 12/16/2021, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. (3) EQUITY OWNER, LWC USA LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 12/17/2021, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 4. 100% OWNER, AMBLESIDE 2830, LLC, 3312 EASTSIDE AVE, CINCINNATI, , OHIO, 45208, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 06/07/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 2009-05-18 |
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