Best Investors Account Sign in

Phillip James Hicks

Northwestern Mutual Investment Services, LLC

Milwaukee, WI

Claim This Profile
Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2002-03-28
  • WI RA
    APPROVED
    Since 2002-03-28

Branch Locations

330 E Kilbourn Ave Ste 950, Milwaukee, WI 53202 • 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 Ins Co Milwaukee WI 06/1998 10/2023
Northwestern Mutual Investment Services, Llc Milwaukee WI 06/1999 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
Jerod Spaeth Milwaukee WI 11/2023 Present
  • 06/1998 → 10/2023
    Northwestern Mutual Life Ins Co
    Milwaukee, WI
  • 06/1999 → Present
    Northwestern Mutual Investment Services, Llc
    Milwaukee, WI
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 11/2023 → Present
    Jerod Spaeth
    Milwaukee, WI
Previous Registrations
  • 2005-04-15 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-04-14
S63 Uniform Securities Agent State Law Examination 1999-07-15
  • S65 Uniform Investment Adviser Law Examination
    2005-04-14
  • S63 Uniform Securities Agent State Law Examination
    1999-07-15
Other Names
  • Phil Hicks

View on SEC IAPD

Other Firms

ROBERT W. BAIRD & CO. INCORPORATED
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLC
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC
BAIRD CAPITAL MANAGEMENT COMPANY, LLC
NATIONAL INVESTMENT SERVICES OF AMERICA, LLC
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLC

Other Investors

GREGORY BERNARD GREENHOUSE
GREGORY S PINSKY
SCOTT JOHN HANSON
MICHAEL JOSEPH GLAISNER
ADAM JOSEPH KAPUSTA
PAMELA CAIN-HENRY
LAURA MARIE HEBERT
DANIEL JOSEPH RENOUARD

Other Offices

ROBERT W. BAIRD & CO. INCORPORATED · MILWAUKEE, WI
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLC · MILWAUKEE, WI
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC · MILWAUKEE, WI
BAIRD CAPITAL MANAGEMENT COMPANY, LLC · MILWAUKEE, WI
NATIONAL INVESTMENT SERVICES OF AMERICA, LLC · MILWAUKEE, WI
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC · MILWAUKEE, WI
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC · MILWAUKEE, WI
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLC · MILWAUKEE, WI

More in Milwaukee, WI

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor