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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2022-05-18 |
Branch Locations
3549 North University Avenue Suite 175, Provo, UT 84604 • 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 | Provo | UT | 12/2014 | 02/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 02/2020 |
| Greg Merrill | Provo | UT | 03/2016 | 10/2018 |
| Ryan Ericksen | Lehi | UT | 06/2016 | 02/2020 |
| Royal Alliance Associates Inc. | South Jordan | UT | 04/2020 | 02/2021 |
| Integrated Financial Group | South Jordan | UT | 02/2020 | 02/2021 |
| Northwestern Mutual Investment Services Llc | Provo | UT | 04/2021 | 12/2021 |
| Ryan Ericksen | Provo | UT | 03/2021 | 12/2021 |
| Samuel Rosen | Provo | UT | 03/2021 | 12/2021 |
| Northwestern Mutual Wealth Management Company | Provo | UT | 05/2021 | 12/2021 |
| Commonwealth Financial Network | San Diego | CA | 12/2021 | 05/2022 |
| Commonwealth Financial Network | San Diego | CA | 05/2022 | Present |
Fixed insurance sales; as of 04/14/2022; 0% of time spent during business hours; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 2015-05-21 |
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