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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2018-09-18
  • NC RA
    APPROVED
    Since 2018-09-18

Branch Locations

1201 Edwards Mill Rd Ste 200, Raleigh, NC 27607 • 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
Joshua Powell Raleigh NC 09/2016 11/2017
Medicap Pharmacy Raleigh NC 02/2016 09/2016
Johnathan Williams Raleigh NC 09/2016 11/2017
Northwestern Mutual Investment Services Llc Raleigh NC 02/2018 Present
Joshua Powell Raleigh NC 11/2017 12/2023
Johnathan Williams Raleigh NC 11/2017 12/2023
Northwestern Mutual Wealth Management Company Raleigh NC 06/2020 12/2023
Northwestern Mutual Life Insurance Company Milwaukee WI 01/2024 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2024 Present
  • 09/2016 → 11/2017
    Joshua Powell
    Raleigh, NC
  • 02/2016 → 09/2016
    Medicap Pharmacy
    Raleigh, NC
  • 09/2016 → 11/2017
    Johnathan Williams
    Raleigh, NC
  • 02/2018 → Present
    Raleigh, NC
  • 11/2017 → 12/2023
    Joshua Powell
    Raleigh, NC
  • 11/2017 → 12/2023
    Johnathan Williams
    Raleigh, NC
  • 06/2020 → 12/2023
    Northwestern Mutual Wealth Management Company
    Raleigh, NC
  • 01/2024 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2024 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. OPERATIONS/VP, GARNER SPORTS LEAGUE, 221 E GARNER RD, GARNER, , NORTH CAROLINA, 27529, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 07/21/2023, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, OPERATIONS. NON INVESTMENT RELATED. 2. PRESIDENT, GARNER SPORTS LEAGUE, 221 E GARNER RD, GARNER, , NORTH CAROLINA, 27529, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 10/8/2023, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRESIDENT [STARTED JULY 21,2023 IN OPERATIONS, NOW PRESIDENT OF THE ENTIRE LEAGUE EFFECTIVE 10/8/2023] 3. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES, OR INSURANCE BROKERAGE AGENCIES, NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS, NON INVESTMENT RELATED

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-09-17
  • S66 Uniform Combined State Law Examination
    2018-09-17
Other Names
  • Sarah Shafik
  • Sarah Saad Shafik
  • Sarah S Morales

View on SEC IAPD

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