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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2015-06-12
  • WA RA
    APPROVED
    Since 2015-06-12

Branch Locations

111 E Rivulon Blvd Suite 101, Gilbert, AZ 85297 • 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 Seattle WA 11/2010 12/2022
Northwestern Mutual Life Insurance Company Milwaukee WA 12/2009 12/2022
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
Northwestern Mutual Investment Services, Llc Gilbert AZ 01/2023 Present
Northwestern Mutual Life Insurance Company Milwaukee WI 01/2023 Present
Gilbert Christian Schools Gilbert AZ 03/2023 Present
  • 11/2010 → 12/2022
    Seattle, WA
  • 12/2009 → 12/2022
    Northwestern Mutual Life Insurance Company
    Milwaukee, WA
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 01/2023 → Present
    Gilbert, AZ
  • 01/2023 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 03/2023 → Present
    Gilbert Christian Schools
    Gilbert, AZ
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. SOFTBALL COACH, GILBERT CHRISTIAN SCHOOLS, 4341 S GREENFIELD RD, GILBERT, , ARIZONA, 85297, UNITED STATES OF AMERICA, GENERAL EMPLOYMENT, START DATE: 2/10/2023, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 0-5, MIDDLE SCHOOL SOFTBALL COACH 3. ASSISTANT SOFTBALL COACH, GILBERT CHRISTIAN SCHOOLS, 4341 S GREENFIELD RD, GILBERT, , ARIZONA, 85297, UNITED STATES OF AMERICA, GENERAL EMPLOYMENT, START DATE: 2/10/2023, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 0-5, COACH HIGH SCHOOL SOFTBALL. NON-INVESTMENT RELATED. 4. OWNER, AINSBURG, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 06/29/2026, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 21-40, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-06-08
S63 Uniform Securities Agent State Law Examination 2011-06-03
  • S65 Uniform Investment Adviser Law Examination
    2015-06-08
  • S63 Uniform Securities Agent State Law Examination
    2011-06-03

View on SEC IAPD

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