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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2007-08-28
  • RI RA
    APPROVED
    Since 2007-08-28

Branch Locations

275 Promenade Street Suite 300, Providence, RI 02908 • 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 Providence RI 09/1984 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 11/1985 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 09/1984 → Present
    Northwestern Mutual Life
    Providence, RI
  • 11/1985 → Present
    Milwaukee, WI
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2007-01-05 → 2007-04-30
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. CUSTOM GROUP INSURANCE, INC, 11 S ANGELL ST, PROVIDENCE, RHODE ISLAND, 02906, START DATE: 1/1/1989, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PRESIDENT OF GROUP INSURANCE SALES GROUP. Investment related. 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. BOARD MEMBER, EPISCOPAL DIOCESE OF RI- DIOCESE INVESTMENT TRUST, N MAIN ST, PROVIDENCE, , RHODE ISLAND, 02906, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 3/4/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ON THE INVESTMENT COMMITTE OF RI EPISCOPAL DIOSCESE 4. BOARD MEMBER, EPISCOPAL DIOCESE OF RI- DIOCESE INVESTMENT TRUST, N MAIN ST, PROVIDENCE, , RHODE ISLAND, 02906, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 3/4/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ON THE INVESTMENT COMMITTE OF RI EPISCOPAL DIOSCESE

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-01
S63 Uniform Securities Agent State Law Examination 1988-02-19
  • S66 Uniform Combined State Law Examination
    2006-02-01
  • S63 Uniform Securities Agent State Law Examination
    1988-02-19
Other Names
  • Tim Mccahan

View on SEC IAPD

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