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5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2021-06-15 |
Branch Locations
11225 Se 6Th St. Ste. 260, Bellevue, WA 98004 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services Llc | Seattle | WA | 05/2016 | 05/2021 |
| Michael O Brien | Seattle | WA | 05/2016 | 05/2021 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 08/2016 | 05/2021 |
| Mariner Wealth Advisors | Bellevue | WA | 05/2021 | Present |
Upperwest LLC; not investment related; Washington state; owner; start date 11/21/25; 2 hours /month, 0 per trading hours; photography business
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 2014-07-17 |
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