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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-01-24 |
| AL | RA | APPROVED | 2021-04-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services, Llc | Hoover | AL | 11/2013 | 04/2021 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 05/2013 | 04/2021 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 04/2021 |
| Regions Bank | Birmingham | AL | 04/2021 | Present |
| Cetera Investment Services Llc | Saint Cloud | MN | 04/2021 | Present |
| Cetera Investment Advisers Llc | Birmingham | AL | 04/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 2014-04-24 |
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