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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 2009-01-28
  • CT RA
    APPROVED
    Since 2009-01-28

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 Milwaukee WI 11/1976 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 06/1978 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 02/2015 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, NON INVESTMENT RELATED

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-07-10
  • S63 Uniform Securities Agent State Law Examination
    1998-07-10
Designations

View on SEC IAPD

Other Firms

Other Investors

Other Offices

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