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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-11-04 |
| NC | RA | APPROVED | 2019-09-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 10/2010 | 12/2017 |
| Northwestern Mutual Investment Services, Llc | Greensboro | NC | 11/2010 | 12/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2016 | 12/2017 |
| Wells Fargo Clearing Services, Llc. | Greensboro | NC | 01/2018 | 06/2019 |
| Wells Fargo Bank Na | Greensboro | NC | 01/2018 | 06/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greensboro | NC | 06/2019 | Present |
| Gp Agency (Gene Pleasant Agency) | Raleigh | NC | 07/2011 | 10/2017 |
| Bank Of America, N.A. | Greensboro | NC | 08/2019 | Present |
I*125089 For profit or not for profit: For-Profit Organization Name of outside business organization: Northwestern Mutual Investment related: Y Address of business: Milwaukee, Wisconsin 53202 Nature of business: Corporation Position, title, association: Other, No Position held Start date of relationship: 1/1/2018 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Trailing Insurance Commissions I*131598 For profit or not for profit: Non-Profit Organization Name of outside business organization: Goodwill Industries of Central North Carolina, Inc Investment related: Address of business: Greensboro, North Carolina 27406 Nature of business: Corporation, Compensation for Activity: Position, title, association: , Start date of relationship: 6/4/2020 Number of hours devoted: 4 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Board Advisor to assist Executive Board of Directors and participate on financial committee as a member.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 2011-04-04 |
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