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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-07-16 |
Branch Locations
1 Battery Park Plaza Ste 3350, New York, NY 10004 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rick Hu | New York | NY | 06/2025 | 07/2025 |
| Morgan Stanley | Philadelphia | PA | 12/2024 | 05/2025 |
| Steven Abbass | New York | NY | 01/2019 | 12/2024 |
| Learnvest | Scottsdale | AZ | 06/2017 | 12/2018 |
| Dutch Bros | Mesa | AZ | 01/2014 | 06/2017 |
| Anthony Williams | New York | NY | 04/2022 | 12/2024 |
| Northwestern Mutual Investment Services Llc | New York | NY | 06/2019 | 12/2024 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 06/2019 | 12/2024 |
| Rick Hu | New York | NY | 07/2025 | Present |
| Northwestern Mutual Investment Services Llc | New York | NY | 07/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-06-22 |
| S65 | Uniform Investment Adviser Law Examination | 2017-07-01 |
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