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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2006-05-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life | Milwaukee | WI | 12/1983 | Present |
| Northwestern Mutual Investment Services, Llc | Milwaukee | WI | 01/1987 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | Present |
1) YANCY FARM, INVESTMENT-RELATED, 9616 FAIRMONT RD, LOUISVILLE, KY 40291, OWNER/OPERATOR FARM AND RESIDENTIAL RENTAL PROPERTY, SEPTEMBER 2014, 10 HOURS PER MONTH, NEW FARM ACERAGE HAS BEEN ACQUIRED THAT CONTAINS A FARM HOUSE THAT MAY BE RENED TO A TENNANT. 2) 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. INVESTMENT RELATED 3) YYS PARTNERS, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 5/10/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 4) OWNER, WDY ENTERPRISE LLC, LEGAL ENTITY, START DATE: 07/23/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-11 |
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