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720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2002-03-28 |
Branch Locations
20825 Swenson Dr Ste 250, Waukesha, WI 53186 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Noethwestern Mutual Life Insurance Compa | Milwaukee | WI | 08/1977 | Present |
| Northwestern Mutual Investment Services, Llc | Milwaukee | WI | 03/1986 | Present |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | Present |
1.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. 2. BOARD MEMBER, CONCORDIA UNIVERSITY ENDOWMENT FUND BOARD, 12800 N LAKE SHORE DR, MEQUON, , WISCONSIN, 53097, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 03/29/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, INPUT ON STRATEGIC MATTERS, FUTURE PLANS FOR UNIVERSITY. non investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1988-05-24 |
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