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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2011-09-15
  • LA RA
    APPROVED
    Since 2011-09-15

Branch Locations

1 Smart Way Suite 101, Baton Rouge, LA 70810 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • 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 Baton Rouge LA 01/2010 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 10/2009 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 02/2026
Slingblade Llc Dba Mid City Ballrom Baton Rouge LA 09/2017 10/2022
  • 01/2010 → Present
    Baton Rouge, LA
  • 10/2009 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2016 → 02/2026
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 09/2017 → 10/2022
    Slingblade Llc Dba Mid City Ballrom
    Baton Rouge, LA
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) TREASURER, HUMANITIES APED, 720 TERRACE AVE, BATON ROUGE, , LOUISIANA, 70802, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 12/22/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER: THE TREASURER SHALL OVERSEE THE FINANCIAL AFFAIRS OF THE ORGANIZATION, SHALL DISBURSE THE FUNDS OF THE ORGANIZATION AS MAY BE NECESSARY, SHALL HAVE OVERSIGHT OF ALL FUNDRAISING ACTIVITIES, SHALL MAINTAIN A SET OF STANDARD OPERATING PROCEDURES ADDRESSING THE MAINTENANCE OF FINANCIAL RECORDS AND SUCH OTHER MATTERS WITHIN THE POSITIONÂ??S PURVIEW, AND SHALL PERFORM SUCH OTHER DUTIES AS ARE INCIDENTAL TO THE POSITION. NOTE: REFERENCE ROBERTÂ??S RULES OF ORDER ARTICLE X FOR MORE INFORMATION. THE PRESIDENT AND VICE-PRESIDENT SHALL BE THE ONLY BOARD MEMBERS REQUIRED TO AGREE TO SPECIFIC ELECTION TERMS, WHICH MUST OVERLAP BY NO LESS THAN FIVE MONTHS TO ENSURE CONTINUATION OF ADEQUATE LEADERSHIP AND DIRECTION OF THE BOARD. I AM WAITING TO HEAR IF I WILL HAVE CHECK SIGNING AUTHORITY, AND LET THEM KNOW I CANNOT BE A SINGLE SIGNER ON ACCOUNTS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-09-12
S63 Uniform Securities Agent State Law Examination 2010-03-12
  • S65 Uniform Investment Adviser Law Examination
    2011-09-12
  • S63 Uniform Securities Agent State Law Examination
    2010-03-12

View on SEC IAPD

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