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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2021-04-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Advised Assets Group, Llc | Greenwood Village | CO | 10/2011 | 12/2017 |
| Gwfs Equities, Inc. | Milwaukee | WI | 03/2007 | 12/2017 |
| Spectrum Investment Advisors, Inc. | Mequon | WI | 12/2017 | 11/2019 |
| Unemployed | Franklin | WI | 05/2019 | 11/2019 |
| Principal Life Insurance Co | Wauwatosa | WI | 11/2019 | 02/2021 |
| Principal Securities Inc | Wauwatosa | WI | 11/2019 | 02/2021 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 03/2021 | Present |
| Northwestern Mutual Investment Services Llc | Milwaukee | WI | 04/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-01-13 |
| S65 | Uniform Investment Adviser Law Examination | 2012-02-27 |
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