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Dana Frederick Potts

Northwestern Mutual Investment Services, LLC

Hinsdale, IL

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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2002-10-30
  • IL RA
    APPROVED
    Since 2002-10-30

Branch Locations

40 E Hinsdale Ave Ste 201, Hinsdale, IL 60521 • 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 04/1980 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 09/1981 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 09/2015 Present
  • 04/1980 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 09/1981 → Present
    Northwestern Mutual Investment Services, Llc
    Milwaukee, WI
  • 09/2015 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-01
S63 Uniform Securities Agent State Law Examination 1986-08-04
  • S65 Uniform Investment Adviser Law Examination
    1999-06-01
  • S63 Uniform Securities Agent State Law Examination
    1986-08-04
Designations

View on SEC IAPD

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