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425 Market Street 17Th Floor, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-02-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | New York | NY | 07/2013 | 10/2018 |
| Northwestern Mutual Investment Services, Llc | New York | NY | 01/2014 | 12/2018 |
| Northwestern Mutual Wealth Management Company | New York | NY | 03/2016 | 10/2018 |
| Stephen Schwartz | New York | NY | 11/2018 | 12/2018 |
| Jim Dinardo | New York | NY | 11/2018 | 12/2018 |
| Kevin Luchetta | New York | NY | 11/2018 | 12/2018 |
| Paul Tortorella | New York | NY | 11/2018 | 12/2018 |
| Jp Morgan Securities, Llc | Santa Barbara | CA | 12/2018 | 04/2023 |
| Jp Morgan Chase Bank, N.A. | Santa Barbara | CA | 12/2018 | 04/2023 |
| Pioneer Financial | New York | NY | 05/2018 | 12/2018 |
| West Wealth Group | Irvine | CA | 04/2023 | 08/2023 |
| U.S. Bancorp Investments, Inc. | Santa Barbara | CA | 11/2023 | 09/2024 |
| Unemployed | Mount Kisco | NY | 09/2024 | 02/2025 |
| Charles Schwab & Co, Inc | Mount Kisco | NY | 02/2025 | Present |
| Charles Schwab Bank, Ssb | Mount Kisco | NY | 02/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-09-25 |
| S66 | Uniform Combined State Law Examination | 2019-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 2014-04-07 |
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