Rafael Saez

Current Employers

Northwestern Mutual Investment Services, Llc

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

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2020-08-05

WI RA
APPROVED

Since 2020-08-05

Branch Locations

720 E Wisconsin Ave, Milwaukee, WI 53202 • United States

Greenfield, WI • 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

Organization	City	State	From	To
Edward Jones	St Louis	MO	05/2018	01/2019
Pnc Bank N.A	Beookfield	WI	03/2017	04/2018
Fein Brothers	Milwaukee	WI	06/2016	03/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Milwaukee	WI	05/2019	09/2019
Unemployed	Milwaukee	WI	01/2019	05/2019
Bank Of America, N.A.	Milwaukee	WI	06/2019	09/2019
Northwestern Mutual Investment Services, Llc	Milwaukee	WI	08/2020	Present
Northwestern Mutual Life Insurance Company	Milwaukee	WI	07/2020	Present
Unemployed	Milwaukee	WI	09/2019	02/2020
Oak Creek-Franklin School District	Oak Creek	WI	03/2020	06/2020
Oak Creek-Franklin School Distric	Oak Creek	WI	03/2021	Present

05/2018 → 01/2019

Edward Jones

St Louis, MO
03/2017 → 04/2018

Pnc Bank N.A

Beookfield, WI
06/2016 → 03/2017

Fein Brothers

Milwaukee, WI
05/2019 → 09/2019

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Milwaukee, WI
01/2019 → 05/2019

Unemployed

Milwaukee, WI
06/2019 → 09/2019

Bank Of America, N.A.

Milwaukee, WI
08/2020 → Present

Northwestern Mutual Investment Services, Llc

Milwaukee, WI
07/2020 → Present

Northwestern Mutual Life Insurance Company

Milwaukee, WI
09/2019 → 02/2020

Unemployed

Milwaukee, WI
03/2020 → 06/2020

Oak Creek-Franklin School District

Oak Creek, WI
03/2021 → Present

Oak Creek-Franklin School Distric

Oak Creek, WI

Previous Registrations

2019-06-06 → 2019-09-25

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Milwaukee, WI

New York, NY
2018-07-25 → 2019-01-24

Edward Jones

Milwaukee, WI

St Louis, MO

Maryland Heights, MO

Other Businesses

ASSISTANT FIELD & TRACK COACH, OAK CREEK-FRANKLIN SCHOOL DISTRICT ATHLETIC DEPARTMENT, 340 E PUETZ RD, OAK CREEK, , WISCONSIN, 53154, UNITED STATES OF AMERICA, GENERAL EMPLOYMENT, START DATE: 03/01/2021, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 6-20, TRAIN, DEVELOP, AND PREPARE STUDENT ATHLETES FOR COMPETITION

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-07-23

S66 Uniform Combined State Law Examination

2018-07-23

View on SEC IAPD