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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2005-01-19
  • SC RA
    APPROVED
    Since 2005-01-19

Branch Locations

1901 Bull St, Columbia, SC 29201 • 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 11/1982 Present
Northwestern Mutual Life Equity Milwaukee WI 02/1984 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 11/1982 → Present
    Northwestern Mutual Life
    Milwaukee, WI
  • 02/1984 → Present
    Northwestern Mutual Life Equity
    Milwaukee, WI
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2006-02-01 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 2005-02-18 → 2006-01-31
    Network Planning Advisors, L.L.C.
    Columbia, SC
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. 1901 PARTNERS, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 4/1/2021, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 3.100% OWNER, BOND FAIRCHILD, INC RECEIVING WMC COMPENSATION, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 4/1/2021, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, OWNERSHIP OF OUR LLC 4. FINANCE COMMITTEE, SHANDON BAPTIST CHURCH, 5250 FOREST DRIVE, COLUMBIA, , SOUTH CAROLINA, 29206, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 11/11/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MEMBER OF FINANCE COMMITTEE OF SHANDON BAPTIST CHURCH; NON INVESTMENT-RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-21
S65 Uniform Investment Adviser Law Examination 1999-12-04
S63 Uniform Securities Agent State Law Examination 1990-02-09
  • S66 Uniform Combined State Law Examination
    2005-03-21
  • S65 Uniform Investment Adviser Law Examination
    1999-12-04
  • S63 Uniform Securities Agent State Law Examination
    1990-02-09
Designations

View on SEC IAPD

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