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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2017-04-05 |
Branch Locations
4215 Edison Lakes Pkwy Ste 200, Mishawaka, IN 46545 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 1St Source Bank | South Bend | IN | 03/2015 | 02/2017 |
| Brad Stewart | Mishawaka | IN | 03/2017 | 07/2024 |
| Northwestern Mutual Investment Services Llc | Mishawaka | IN | 03/2017 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2017 | 08/2024 |
| Smg, Inc. | Mishawaka | IN | 07/2024 | Present |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 08/2024 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 08/2024 | Present |
1. OWNER, SMG LEGACY INC. (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 08/08/2024, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 2. VICE PRESIDENT, UNITED YOUTH THEATER, 18 ST MARY S COLLEGE, SOUTH BEND, , INDIANA, 46624, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 2/7/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PARTICIPATE IN BOARD DISCUSSIONS AROUND STRATEGIC AND OPERATIONAL INITIATIVES. NON-INVESTMENT RELATED. 2. OWNER, 1857, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 8/8/2024, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40 ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 3. OWNER, 1888, LLC, LEGAL ENTITY - RECEIVING RISK COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 8/8/2024, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 4. TREASURER OF THE BOARD, UNITED YOUTH THEATRE, NON-PROFIT, START DATE: 08/27/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER, GENERAL BOARD MEMBER. NON-INVESTMENT RELATED. 5. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES, OR INSURANCE BROKERAGE AGENCIES, NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS, NON INVESTMENT RELATED 6. SMG INSURANCE HOLDINGS, LLC, LEGAL ENTITY, START DATE: 8/19/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 7. SMG LEGACY OF ILLINOIS INC., LEGAL ENTITY, START DATE: 8/19/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-04-03 |
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