Best Investors Account Sign in
Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

1500 Grant Ave Ste 320, Novato, CA 94945 • 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
Northwestern Mutual Life Insurance Company Milwaukee WI 02/1999 Present
Northwestern Mutual Investment Services, Llc San Francisco CA 11/2006 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 06/2010 Present
  • 02/1999 → Present
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 11/2006 → Present
    San Francisco, CA
  • 06/2010 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. RESIDENTIAL RENTAL PROPERTY, INVESTMENT-RELATED, 2463 CLIFFSIDE COURT, ANN ARBOR, MI, 100% OWNER, START DATE 04/15/07, LESS THAN 1 HOUR PER MONTH, I HAVE HIRED AN AGENT TO MANAGE AND COLLECT RENT AND FIX ANY PROBLEMS. 2. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS 3. 100% OWNER, WALTHER PROPERTIES LLC, 1603 INDIAN VALLEY RD, NOVATO, , CALIFORNIA, 94947, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 3/1/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, MANAGE THE PROPERTY AND COLLECT RENT, INVESTMENT RELATED. 4. PWMG HOLDINGS, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 7/17/2023, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-26
S63 Uniform Securities Agent State Law Examination 1999-05-07
  • S66 Uniform Combined State Law Examination
    2007-02-26
  • S63 Uniform Securities Agent State Law Examination
    1999-05-07

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Novato, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor