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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 2003-08-28
  • IL RA
    APPROVED
    Since 2003-08-28

Branch Locations

301 W Roosevelt Rd Ste A, Wheaton, IL 60187 • 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 Insurnace Company Milwaukee WI 06/1978 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 12/1981 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 06/1978 → Present
    Northwestern Mutual Life Insurnace Company
    Milwaukee, WI
  • 12/1981 → 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. PRESIDENT OF GOOD TEMPLARS CENTRAL STATES REGIONAL COUNSEL. 528 EAST SIDE DRIVE, GENEVA, IL. INVESTMENT RELATED, HAS CHECK WRITING AUTHORITY. START DATE 9/22/07, 4 HOURS PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-26
S63 Uniform Securities Agent State Law Examination 1991-09-16
  • S65 Uniform Investment Adviser Law Examination
    1998-01-26
  • S63 Uniform Securities Agent State Law Examination
    1991-09-16
Other Names
  • Steve Carlson

View on SEC IAPD

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