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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2003-09-18
  • NH RA
    APPROVED
    Since 2003-09-18

Branch Locations

428 Main St Ste 6, Keene, NH 03431 • 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 12/1980 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 01/1983 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 12/1980 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/1983 → 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. NEWCOMBE, BERGERON. INVESTMENT RELATED. 191 WASHINGTON STREET, KEENE, NH, 03431. GROUP INSURANCE SALES. OWNER. 12/14/2011. 20 HRS/MONTH. 3. OUTSIDE INSURANCE GENERAL SALES/SERVICING, 191 WASHINGTON STREET, KEENE, , NEW HAMPSHIRE, 03431, UNITED STATES OF AMERICA, GENERAL SALES/SERVICING, START DATE: 12/14/2011, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, 100% OWNER; GROUP INSURANCE SALES. 4. FINANCE COUNCIL CHAIR, PARISH OF THE HOLY SPIRIT, 173 MAIN ST., KEENE, , NEW HAMPSHIRE, 03431, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 8/20/2026, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 6-20, HELP FINANCIAL BUDGETING AND OVERSEE PARISH FINANCES, NON-FINANCE RELATED

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-29
S63 Uniform Securities Agent State Law Examination 1993-12-17
  • S65 Uniform Investment Adviser Law Examination
    1999-12-29
  • S63 Uniform Securities Agent State Law Examination
    1993-12-17
Other Names
  • Jim Newcombe
  • James Edward Newcombe
  • Elizabeth James Anderson

View on SEC IAPD

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