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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 2006-01-12
  • IL RA
    APPROVED
    Since 2006-01-12

Branch Locations

102 S East St, Bloomington, IL 61701 • 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
Northwestern Mutual Life Insurance Company Milwaukee WI 12/1976 Present
Northwestern Mutual Investment Services, Llc Normal IL 01/1985 Present
Northwestern Mutual Investment Services, Llc Normal IL 01/2006 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 02/2015 Present
Other Businesses

1. 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. 2. ROYAL LINKS HOMEOWNERS ASSOCIATION - PRESIDENT OF 5 PERSON BOARD. BLOOMINGTON, IL EFFECTIVE 1/14/14 3. COMMITTEE MEMBER, CALVARY UNITED METHODIST CHURCH, 1700 N TOWANDA AVE, NORMAL,, , ILLINOIS, 61761, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 08/14/2017, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MEMBER OF FINANCE COMMITTEE 4. 100% OWNER, JRB COMPANY, LLC, LEGAL ENTITY, START DATE: 08/10/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 5. JRBBAB COMPANY, LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 8/10/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED. 6. OFFICER, ROYAL LINKS HOMEOWNERS ASSOCIATION BOARD, 2801 MOWREY DR., BLOOMINGTON, , ILLINOIS, 61704, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 1/14/2014, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PAST PRESIDENT OFFICER OF 5 PERSON BOARD - UPHOLDS THE COVENANTS OF THE SUBDIVISION TO THE RESIDENTS. NON-INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-20
S63 Uniform Securities Agent State Law Examination 1991-08-26
  • S66 Uniform Combined State Law Examination
    2006-07-20
  • S63 Uniform Securities Agent State Law Examination
    1991-08-26
Designations
Other Names
  • Jim Brown

View on SEC IAPD

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