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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2011-07-29
  • CT RA
    APPROVED
    Since 2011-07-29

Branch Locations

1 Eliot Place Ste 200, Fairfield, CT 06824 • 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 01/2010 Present
Northwestern Mutual Investment Services, Llc Fairfield CT 10/2010 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 01/2010 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 10/2010 → Present
    Fairfield, CT
  • 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. OUTSIDE INSURANCE SALES/SERVICING, GENERAL SALES/SERVICING, START DATE: 8/18/2010, HOURS PER MONTH: 0-5, SALES AND SERVICE OF NON-NORTHWESTERN MUTUAL INSURANCE PRODUCTS.; NOT INVESTMENT RELATED 3. 100% OWNER, TBD, GREENSBORO, , NORTH CAROLINA, 27403, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 09/05/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, INVESTMENT RELATED.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-01-10
  • S63 Uniform Securities Agent State Law Examination
    2011-01-10
Designations
Other Names
  • Kathryn Meredith Harvey

View on SEC IAPD

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