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Richard Seymour Wagner

Northwestern Mutual Investment Services, LLC

Winston Salem, NC

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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2013-11-21
  • NC RA
    APPROVED
    Since 2013-11-21

Branch Locations

500 W 5Th St Ste 604, Winston Salem, NC 27101 • 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
The Northwestern Mutual Life Insurance C Milwaukee WI 09/1985 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 10/1986 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 09/1985 → Present
    The Northwestern Mutual Life Insurance C
    Milwaukee, WI
  • 10/1986 → Present
    Northwestern Mutual Investment Services, Llc
    Milwaukee, WI
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-11-18
S63 Uniform Securities Agent State Law Examination 2000-05-19
  • S65 Uniform Investment Adviser Law Examination
    2013-11-18
  • S63 Uniform Securities Agent State Law Examination
    2000-05-19
Other Names
  • Richard Seymour Wagner

View on SEC IAPD

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Other Offices

WELLS FARGO CLEARING SERVICES, LLC · WINSTON SALEM, NC
LPL FINANCIAL LLC · WINSTON SALEM, NC
EDWARD JONES · WINSTON SALEM, NC
EDWARD JONES · WINSTON-SALEM, NC
AMERIPRISE FINANCIAL SERVICES, LLC · WINSTON-SALEM, NC
TIMONIER · WINSTON SALEM, NC
APOLLON WEALTH MANAGEMENT, LLC · Winston-Salem, NC
KESTRA ADVISORY SERVICES, LLC · Winston Salem, NC

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