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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2011-02-25
  • CO RA
    APPROVED
    Since 2011-02-25

Branch Locations

3665 John F Kennedy Pkwy Bldg 1 Ste 100, Fort Collins, CO 80525 • 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 06/2006 Present
Northwestern Mutual Investment Services, Llc Fort Collins CO 05/2007 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 11/2015 Present
  • 06/2006 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 05/2007 → Present
    Fort Collins, CO
  • 11/2015 → 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) OWNER, 313 PARTNERS AND INSURANCE SERVICES, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 11/11/2021, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 3) 100% OWNER, ONE ELEVEN, LLC, LEGAL ENTITY, START DATE: 11/16/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, THIS IS A LLC TAXED AS AN S CORP FOR THE PURPOSE OF HOLDING SHARES OF OUR ENSEMBLE LLC 4) 100% OWNER, THE GOOD LAND LLC, 9905 COUNTY ROAD 80, FORT COLLINS, , COLORADO, 80524, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 11/30/2022, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, FARMING OUR SMALL FAMILY FARM FOR HAY, EGGS, HONEY, AND LIVESTOCK

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-09
  • S66 Uniform Combined State Law Examination
    2007-06-09

View on SEC IAPD

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