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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
HI RA APPROVED 2003-09-11
  • HI RA
    APPROVED
    Since 2003-09-11

Branch Locations

737 Bishop St Ste 1700 Mauka Tower, Honolulu, HI 96813 • 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 Honolulu HI 01/1974 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 11/1977 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2007 Present
Other Businesses

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. 100% OWNER OF RENTAL PROPERTY AT 98-1365 E KAAHUMANU STREET IN AIEA, HAWAII AS OF 10/1/2009; DEVOTES ABOUT 2 HOURS PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-30
S63 Uniform Securities Agent State Law Examination 1987-12-18
  • S65 Uniform Investment Adviser Law Examination
    2000-08-30
  • S63 Uniform Securities Agent State Law Examination
    1987-12-18

View on SEC IAPD

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