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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2011-05-04
  • MI RA
    APPROVED
    Since 2011-05-04

Branch Locations

333 Bridge St Nw Ste 1200, Grand Rapids, MI 49504 • 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 Milwaukee WI 12/1974 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 09/1977 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
Other Businesses

1. 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, INVESTMENT RELATED. 2. OWNER, STR18, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 7/1/2021, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3) BOARD ADVISOR, FERRIS COFFEE AND NUT CO., 839 SEWARD NW, GRAND RAPIDS, , MICHIGAN, 49504, UNITED STATES OF AMERICA, PRIVATE, START DATE: 9/27/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, BOARD ADVISOR. INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-20
S63 Uniform Securities Agent State Law Examination 1986-12-12
  • S65 Uniform Investment Adviser Law Examination
    1999-12-20
  • S63 Uniform Securities Agent State Law Examination
    1986-12-12
Designations

View on SEC IAPD

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