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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2021-12-22 |
Branch Locations
9998 Crosspoint Blvd, Ste 400, Indianapolis, IN 46256 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica | Indianapolis | IN | 09/2015 | 11/2021 |
| W Drake | Greenwood | IN | 12/2021 | 03/2024 |
| Jonathan Lehman | Fort Wayne | IN | 12/2021 | 03/2024 |
| Randall Lehman | Fort Wayne | IN | 12/2021 | 03/2024 |
| Kevin Bontrager | Angola | IN | 12/2021 | 03/2024 |
| Rob Hayworth | Fort Wayne | IN | 12/2021 | 03/2024 |
| Northwestern Mutual Investment Services Llc | Greenwood | IN | 12/2021 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 03/2023 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2024 | Present |
| 1857, Llc | Fort Wayne | IN | 03/2024 | Present |
1. SMG LEGACY INC., LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 1/1/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 2. OWNER, 1888, LLC, LEGAL ENTITY - RECEIVING RISK COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 1/1/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 3. OWNER, 1857, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 1/1/2025, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 4. 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. 5. SMG LEGACY OF ILLINOIS, INC., LEGAL ENTITY, START DATE: 7/1/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PARTNER, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-07-06 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-18 |
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