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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2006-06-29
  • NJ RA
    APPROVED
    Since 2006-06-29

Branch Locations

500 Campus Dr Ste 300, Florham Park, NJ 07932 • 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 09/1973 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 02/1982 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
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. RENTAL PROPERTY, 16 BIRCHWOOD RD HAWTHORNE NJ 07506 3. CHAIRPERSON, NORTHEAST COMMUNITY TRANSFORMATION, 16 BIRCHWOOD ROAD, HAWTHORNE, , NEW JERSEY, 07506, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 7/1/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I SESRVE AS CHAIRPERSON AND CO-ORDINATE MINISTRIES OF MERCY & JUSTICE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-26
S63 Uniform Securities Agent State Law Examination 1985-05-23
  • S66 Uniform Combined State Law Examination
    2006-06-26
  • S63 Uniform Securities Agent State Law Examination
    1985-05-23
Other Names
  • Roy Gienn Heerema

View on SEC IAPD

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