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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-11-21
  • NC RA
    APPROVED
    Since 2024-11-21

Branch Locations

1201 Edwards Mill Rd Ste 200, Raleigh, NC 27607 • 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
Ubs Financial Services, Inc Charlotte NC 10/2023 07/2024
Self-Employment Charlotte NC 10/2018 Present
Charles Schwab Lone Tree CO 06/2022 08/2022
Walgreens Garner NC 06/2019 06/2020
Student Smithfield NC 08/2013 05/2020
Unc Charlotte Charlotte NC 08/2020 05/2023
Jason Garey Raleigh NC 10/2024 Present
Kelly Parker Raleigh NC 10/2024 Present
Robert Rauf Raleigh NC 10/2024 Present
Northwestern Mutual Investment Services Llc Raleigh NC 11/2024 Present
Charles Schwab Remote NC 06/2022 09/2022
  • 10/2023 → 07/2024
    Charlotte, NC
  • 10/2018 → Present
    Self-Employment
    Charlotte, NC
  • 06/2022 → 08/2022
    Charles Schwab
    Lone Tree, CO
  • 06/2019 → 06/2020
    Walgreens
    Garner, NC
  • 08/2013 → 05/2020
    Student
    Smithfield, NC
  • 08/2020 → 05/2023
    Unc Charlotte
    Charlotte, NC
  • 10/2024 → Present
    Jason Garey
    Raleigh, NC
  • 10/2024 → Present
    Kelly Parker
    Raleigh, NC
  • 10/2024 → Present
    Robert Rauf
    Raleigh, NC
  • 11/2024 → Present
    Raleigh, NC
  • 06/2022 → 09/2022
    Charles Schwab
    Remote, NC
Previous Registrations
Other Businesses

1. Chop USA Hockey, not investment related, 1066 Fieldtrial Circle Garner, NC 27529, active level 4 official, On-Ice Official, self-employed contract work, 10/2018, 20 hours per month, 0 hours during securities trading hours, Manage the general flow of youth and adult hockey games sanctioned by USA Hockey by assessing game penalties for rule violations and ejecting players with serious conduct violations. NON INVESTMENT RELATED. 2. ON-ICE OFFICIAL, CHARLOTTE HOCKEY OFFICIATING PROGRAM, 4705 INDIAN TRAIL FAIRVIEW RD, INDIAN TRAIL, , NORTH CAROLINA, 28079, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 03/31/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OFFICIATE ICE HOCKEY IN ACCORDANCE WITH THE RULES AND REGULATIONS OF USA HOCKEY. CALL PENALTIES, GOALS, ASSISTS, AND CREATE A SAFE PLAYING ENVIRONMENT. NON-INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-05
  • S66 Uniform Combined State Law Examination
    2023-08-05

View on SEC IAPD

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