Harold Tepper

Employer firm

Northwestern Mutual Investment Services, LLC CRD 2881

1 advisory clients

Reported services (Item 5G)

INVESTMENT RESEARCH; REFERRALS TO OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

Current Employers

Northwestern Mutual Investment Services, Llc

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2008-04-15

NJ RA
APPROVED

Since 2008-04-15

Branch Locations

Jackson, NJ • United States

500 Campus Dr Ste 300, Florham Park, NJ 07932 • 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

Organization	City	State	From	To
Northwestern Mutual Life Ins. Co.	Milwaukee	WI	10/1976	Present
Northwestern Mutual Investment Services, Llc	Milwaukee	WI	08/1984	Present
Northwestern Mutual Wealth Management Company	Milwaukee	WI	01/2016	Present

10/1976 → Present

Northwestern Mutual Life Ins. Co.

Milwaukee, WI
08/1984 → 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

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-01-30
S63	Uniform Securities Agent State Law Examination	1985-05-24

S66 Uniform Combined State Law Examination

2008-01-30
S63 Uniform Securities Agent State Law Examination

1985-05-24

View on SEC IAPD