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Joseph Anthony Simons

Northwestern Mutual Investment Services, LLC

Delafield, WI

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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2011-01-12
  • WI RA
    APPROVED
    Since 2011-01-12

Branch Locations

3960 Hillside Dr Ste 101, Delafield, WI 53018 • 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 01/2011 Present
Northwestern Mutual Investment Services, Llc Brookfield WI 01/2011 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 01/2011 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2011 → Present
    Northwestern Mutual Investment Services, Llc
    Brookfield, WI
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-22
S63 Uniform Securities Agent State Law Examination 1989-02-27
  • S65 Uniform Investment Adviser Law Examination
    1999-11-22
  • S63 Uniform Securities Agent State Law Examination
    1989-02-27
Other Names
  • Joe Simons

View on SEC IAPD

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Other Offices

WEALTHSPIRE ADVISORS · Delafield, WI
WEALTHSPIRE ADVISORS · Delafield, WI
EDWARD JONES · DELAFIELD, WI
RBC CAPITAL MARKETS, LLC · Delafield, WI
PRESCIENT CAPITAL MANAGEMENT, LLC · DELAFIELD, WI
BEHL WEALTH MANAGEMENT · DELAFIELD, WI
J.P. MORGAN SECURITIES LLC · DELAFIELD, WI
HARBOUR INVESTMENTS, INC. · DELAFIELD, WI

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