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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2007-04-12 |
Branch Locations
3302 Mallard Cove Lane, Fort Wayne, IN 46804 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Northwestern Mutual Life Insurance C | Milwaukee | WI | 02/1981 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2007 | Present |
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) RTB PROPERTIES, LLC, INVESTMENT RELATED, 3302 MALLARD COVE LANE, FORT WAYNE, 46804, COMMERCIAL REAL ESTATE, 97% OWNER, 5/9/1997, MANAGE COMMERCIAL REAL ESTATE PROPERTY OF BUSINESS LOCATION. 3) <1% OWNER, TRI-COUNTY BANK & TRUST COMPANY, 18 E. WASHINGTON STREET, ROACHDALE, , INDIANA, 46172, UNITED STATES OF AMERICA, FINANCIAL SERVICES BUSINESS, START DATE: 11/23/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, SHAREHOLDER 4) OWNER, SMG LEGACY INC. (WMC COMP AND EA EMPLOYMENT), 3302 MALLARD COVE LN, FORT WAYNE, , INDIANA, 46804, UNITED STATES OF AMERICA, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 6/30/2006, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED 5) OWNER, 1857, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 12/21/2017, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 6) OWNER, 1888, LLC, LEGAL ENTITY - RECEIVING RISK COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 2/1/2021, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 7) TRUSTEE, BETHEL UNIVERSITY, 1001 BETHEL CIRCLE, MISHAWAKA, , INDIANA, 46545, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 05/19/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, TRUSTEE AND BOARD MEMBER. I WILL ALSO SERVE ON A STANDING COMMITTEE OF THE BOARD, SUCH AS THE FINANCE OR DEVELOPMENT COMMITTEE 8) SMG INSURANCE HOLDINGS, LLC, LEGAL ENTITY, START DATE: 5/20/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5; ESTABLISHED FOR BUSINESS PURPOSES. INVESTMENT-RELATED. 9) SMG LEGACY OF ILLINOIS, INC., 2015 SPRING ROAD, STE. 100,, OAK BROOK, , ILLINOIS, 60523, UNITED STATES OF AMERICA, LEGAL ENTITY, START DATE: 7/1/2025, HOURS PER MONTH: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-20 |
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