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1212 Broadway Plaza Suite 2100 #54., Walnut Creek, CA 94596 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-06 |
Branch Locations
1212 Broadway Plaza Suite 2100 #54., Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services Llc | San Francisco | CA | 01/2004 | 02/2018 |
| Northwestern Mutual Life Insurance Co | Milwaukee | WI | 01/2004 | 02/2018 |
| Northwestern Mutual Investment Services, Llc | San Francisco | CA | 05/2006 | 02/2018 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 04/2009 | 02/2018 |
| Commonwealth Financial Network | San Diego | CA | 02/2018 | 05/2020 |
| Commonwealth Financial Network | San Diego | CA | 05/2020 | 07/2025 |
| Spiegelman Wealth Management | Alamo | CA | 02/2020 | Present |
1. Fixed insurance sales; as of 02/23/2018; Approximately 5% Time spent during securities trading hours per month; Conducted at branch location; Investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-05-01 |
| S63 | Uniform Securities Agent State Law Examination | 2004-03-11 |
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