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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 2014-01-14
  • WA RA
    APPROVED
    Since 2014-01-14

Branch Locations

12939 E Pinecroft Way Suite 200, Spokane Valley, WA 99216 • 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 Life Insurance Company Milwaukee WI 05/2010 Present
Northwestern Mutual Investment Services, Llc Spokane WA 12/2011 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 05/2010 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 12/2011 → Present
    Spokane, WA
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
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) 13.8% OWNER, KLPC, LLC (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 8/7/2023, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 3) 100% OWNER, BLACK DOG SERVICES LLC, LEGAL ENTITY, START DATE: 02/02/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-01-10
S63 Uniform Securities Agent State Law Examination 2012-02-02
  • S65 Uniform Investment Adviser Law Examination
    2014-01-10
  • S63 Uniform Securities Agent State Law Examination
    2012-02-02

View on SEC IAPD

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