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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2005-03-29
  • IL RA
    APPROVED
    Since 2005-03-29

Branch Locations

5215 Old Orchard Road Suite 1200, Skokie, IL 60077 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W. Baird & Co. Incorporated Winnetka IL 07/1988 Present
Nmis Milwaukee WI 12/2001 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 07/1988 → Present
    Winnetka, IL
  • 12/2001 → Present
    Nmis
    Milwaukee, WI
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
Other Businesses

1. BOARD MEMBER, BUFFALO GROVE POLICE PENSION COMMISSION, RAUPP BLVD, BUFFALO GROVE, ILLINOIS, START DATE: 1/15/2006, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, SERVING AS MEMBER OF THE PENSION COMMISSION ATTENDING QUARTERLY MEETING AND PROVIDE ADVICE ON THE INVESTMENT AND ASSET ALLOCATION OF THE POLICE PENSION FUNDS. 2. BOARD MEMBER, SOVANNA HOMEOWNERS ASSOC., 11000NORTH 77TH PLACE, SCOTTSDALE, , ARIZONA, 85260, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 04/05/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ADDRESS NEEDS OF THE HOA. non investment related. 3. KAF SERVICES LLC, LEGAL ENTITY, START DATE: 4/13/2017, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 4. 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 5. TEAM MANAGEMENT LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 8/31/2022, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 21-40,LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-26
S63 Uniform Securities Agent State Law Examination 1984-06-08
  • S65 Uniform Investment Adviser Law Examination
    1998-01-26
  • S63 Uniform Securities Agent State Law Examination
    1984-06-08

View on SEC IAPD

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