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Current Employers
Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2015-11-20
  • VA RA
    APPROVED
    Since 2015-11-20

Branch Locations

8405 Greensboro Dr Suite 230, Mc Lean, VA 22102 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 02/2014 Present
Northwestern Mutual Investment Services, Llc Mclean VA 11/2015 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 02/2014 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 11/2015 → Present
    Mclean, VA
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. 2. HOLBROOK HOLDINGS LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 10/29/2025, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3. TIEDE ENTERPRISES,LLC, LEGAL ENTITY, START DATE: 10/29/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-03-09
S63 Uniform Securities Agent State Law Examination 2014-04-07
  • S65 Uniform Investment Adviser Law Examination
    2015-03-09
  • S63 Uniform Securities Agent State Law Examination
    2014-04-07

View on SEC IAPD

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