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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-12-14 |
| WA | RA | APPROVED | 2022-10-12 |
Branch Locations
4100 University Way Ne, Seattle, WA 98105 • United States
13273 Aurora Ave N, Seattle, WA 98133 • United States
999 3Rd Ave 40Th Fl [Wh/Wk-Rbo], Seattle, WA 98104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 10/2009 | 10/2017 |
| Northwestern Mutual Investment Services, Llc | Seattle | WA | 04/2010 | 10/2017 |
| Northwestern Mutual | Milwaukee | WI | 03/2015 | 10/2017 |
| Nylife Securities, Llc | Bellevue | WA | 12/2017 | 10/2022 |
| New York Life Insurance Company | Bellevue | WA | 10/2017 | 10/2022 |
| Eagle Strategies Llc | Bellevue | WA | 01/2017 | 10/2022 |
| Summit Partners Northwest, Llc D/B/A The Summit Partners | Bellevue | WA | 05/2018 | 11/2020 |
| Wells Fargo Clearing Services, Llc | Seattle | WA | 10/2022 | Present |
[APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 3535 Factories Blvd SE Bellevue WA 98006; Start Date 01/2011; Role/Title: Insurance Broker; Investment Related; 5 hours per month; 5 hours per month during securities trading hours]
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 2010-04-28 |
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