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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-02-04
  • FL RA
    APPROVED
    Since 2025-02-04

Branch Locations

2601 Cattlemen Rd Ste 200, Sarasota, FL 34232 • United States

1901 Butterfield Road Ste 300, Downers Grove, IL 60515 • 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 Ins. Co. Milwaukee WI 02/1990 Present
Northwestern Mutual Investment Services, Llc Sarasota IL 04/1990 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 02/1990 → Present
    Northwestern Mutual Life Ins. Co.
    Milwaukee, WI
  • 04/1990 → Present
    Sarasota, IL
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2005-02-15 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 2004-07-07 → 2006-01-18
    Network Planning Advisors, L.L.C.
    Oak Brook, IL
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. 100% OWNER, MEPOLAN, LLC, LEGAL ENTITY, START DATE: 05/27/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES. 3. OWNER, NP2022 HOLDINGS, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 06/12/2024, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-14
S63 Uniform Securities Agent State Law Examination 1991-11-14
  • S65 Uniform Investment Adviser Law Examination
    1999-05-14
  • S63 Uniform Securities Agent State Law Examination
    1991-11-14
Designations
Other Names
  • Mike Polan

View on SEC IAPD

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