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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 2025-10-07
  • VA RA
    APPROVED
    Since 2025-10-07

Branch Locations

1 Columbus Ctr Ste 1100, Virginia Bch, VA 23462 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 07/2014 Present
Northwestern Mutual Investment Services Llc Virginia Beach VA 07/2014 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
Major League Rugby: Seattle Seawolves Tukwila WA 01/2020 Present
  • 07/2014 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 07/2014 → Present
    Virginia Beach, VA
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 01/2020 → Present
    Major League Rugby: Seattle Seawolves
    Tukwila, WA
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. PROFESSIONAL RUGBY PLAYER, MAJOR LEAGUE RUGBY: SEATTLE SEAWOLVES, 14800 STARFIRE WAY, TUKWILA, , WASHINGTON, 98188, UNITED STATES OF AMERICA, GENERAL EMPLOYMENT, START DATE: 01/27/2020, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, PROFESSIONAL RUGBY PLAYER 3. SIXTEEN THREE COMPANIES LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 02/11/2026, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-04-20
S63 Uniform Securities Agent State Law Examination 2014-09-15
  • S65 Uniform Investment Adviser Law Examination
    2015-04-20
  • S63 Uniform Securities Agent State Law Examination
    2014-09-15
Other Names
  • Joe Montgomery

View on SEC IAPD

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