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Kenneth M Chiu

Northwestern Mutual Investment Services, LLC

Wenwood, NY

New York, NY

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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2016-07-13
  • NJ RA
    APPROVED
    Since 2016-07-13

Branch Locations

Wenwood, NY • United States

300 Madison Ave Fl 25, New York, NY 10017 • 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 New York NY 06/2016 Present
Michael Schwartz New York NY 06/2016 09/2017
Stephen Schwartz New York NY 06/2016 Present
Paul Tortorella New York NY 07/2018 Present
Kevin Luchetta New York NY 07/2018 Present
Jim Dinardo New York NY 07/2018 Present
  • 06/2016 → Present
    Northwestern Mutual Investment Services Llc
    New York, NY
  • 06/2016 → 09/2017
    Michael Schwartz
    New York, NY
  • 06/2016 → Present
    Stephen Schwartz
    New York, NY
  • 07/2018 → Present
    Paul Tortorella
    New York, NY
  • 07/2018 → Present
    Kevin Luchetta
    New York, NY
  • 07/2018 → Present
    Jim Dinardo
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-12-13
S63 Uniform Securities Agent State Law Examination 2007-07-30
  • S65 Uniform Investment Adviser Law Examination
    2010-12-13
  • S63 Uniform Securities Agent State Law Examination
    2007-07-30
Other Names
  • Kenneth M Chiu
  • Kenneth Man Kit Chiu

View on SEC IAPD

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