Best Investors Account Sign in
Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-07-09
  • FL RA
    APPROVED
    Since 2021-07-09

Branch Locations

902 Clint Moore Rd Ste 228, Boca Raton, FL 33487-2828 • United States

Disclosures

2 disclosure categories 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 Yes
  • 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 Wellesley MA 06/2010 02/2024
Northwestern Mutual Life Insurance Company Milwaukee WI 05/2010 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2015 Present
Northwestern Mutual Investment Services Llc Boca Raton FL 02/2024 Present
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. CUTTER, RIEGEL & STADFELD; NON-INVESTMENT REALTED; WELLESLEY, MA, 33% OWNER, BUSINESS ENTITY CREATED FOR PAYROLL PURPOSES ONLY; 0-5 HRS PER MONTH. 3. LESS THEN 1% OWNER, BLACK CREEK CRYPTO LLC, 1000 N. WEST STREET SUITE 1200, WILMINGTON, , DELAWARE, 19801, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 04/12/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NONE 4. SHEPSTAD, INC. (PAUL S STADFELD TRUST, U/A/D NOVEMBER 3, 2011, AS AMENDED FEBRUARY 8, 2023), LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 1/30/2024, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, , LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 5. THE CONVERGENCE METHOD TRAINING, BUSINESS RELATED SEMINARS, START DATE: 9/12/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, THIS IS A COACHING PROGRAM CALLED CONVERGENCE COACHING AND CONSULTING. MATT CUTTER AND I ARE RUNNING AND CONDUCTING THIS COACHING PROGRAM. IT IS TO EDUCATE NM ADVISORS. 6 90 MINUTE SESSIONS; NON INVESTMENT-RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-12-03
S63 Uniform Securities Agent State Law Examination 2010-08-09
  • S65 Uniform Investment Adviser Law Examination
    2012-12-03
  • S63 Uniform Securities Agent State Law Examination
    2010-08-09

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Boca Raton, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor