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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2002-12-13
  • MA RA
    APPROVED
    Since 2002-12-13

Branch Locations

2341 Boston Rd Ste B200, Wilbraham, MA 01095 • 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 El MA 06/1978 Present
Northwestern Mutual Life Xx MA 05/1979 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 08/1981 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 06/1978 → Present
    Northwestern Mutual Life
    El, MA
  • 05/1979 → Present
    Northwestern Mutual Life
    Xx, MA
  • 08/1981 → Present
    Milwaukee, WI
  • 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. 100% OWNER, RENTAL PROPERTY, 168 UPPER BEAR LANE ROAD, JAMICA, , VERMONT, 05343, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 01/13/2016, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, CONDO OWNER. INVESTMENT RELATED. 3. BOARD MEMBER NONPROFIT, STRATTON TRAILBLAZERS, 318 GLENDALE RD, WILBRAHAM, , MASSACHUSETTS, 01095, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 11/03/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRESIDENT 4. BOARD MEMBER NONPROFIT, 163 UPPER BEAR LN., JAMAICA, , VERMONT, 05155, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 11/03/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER OF CONDO ASSOCIATION

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-22
S63 Uniform Securities Agent State Law Examination 1994-09-06
  • S65 Uniform Investment Adviser Law Examination
    1999-12-22
  • S63 Uniform Securities Agent State Law Examination
    1994-09-06
Designations

View on SEC IAPD

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