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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2013-05-14
  • PA RA
    APPROVED
    Since 2013-05-14

Branch Locations

1818 Market St Ste 3400, Philadelphia, PA 19103 • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Investment Services, Llc Philadelphia PA 03/2010 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 06/2009 08/2024
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 08/2024
Joseph Small Fort Myers FL 08/2024 Present
Justa Farm Dental Esthetics Huntingdon Valley PA 01/2025 Present
  • 03/2010 → Present
    Philadelphia, PA
  • 06/2009 → 08/2024
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2016 → 08/2024
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 08/2024 → Present
    Joseph Small
    Fort Myers, FL
  • 01/2025 → Present
    Justa Farm Dental Esthetics
    Huntingdon Valley, PA
Other Businesses

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. MARKETING ASSOCIATE, JUSTA FARM DENTAL ESTHETICS, 1946 COUNTY LINE ROAD, HUNTINGDON VALLEY, , PENNSYLVANIA, 19006, UNITED STATES OF AMERICA, GENERAL EMPLOYMENT, START DATE: 01/17/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MARKETING, CREATIVE, STRATEGY. NON INVESTMENT RELATED. 3. 100% OWNER, 469 22ND STREET UNIT B, 469 22ND STREET UNIT B, AVALON, , NEW JERSEY, 08202, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 04/14/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LANDLORD. INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-05-13
S63 Uniform Securities Agent State Law Examination 2010-09-03
  • S65 Uniform Investment Adviser Law Examination
    2013-05-13
  • S63 Uniform Securities Agent State Law Examination
    2010-09-03

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