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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2007-10-30
  • PA RA
    APPROVED
    Since 2007-10-30

Branch Locations

1 Northwestern Blvd, Albany, NY 12211 • 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 06/1986 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 02/1987 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 06/1986 → Present
    Northwestern Mutual Life Ins Co
    Milwaukee, WI
  • 02/1987 → Present
    Milwaukee, WI
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

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. 100% OWNER OF BELISAMA BODYWORKS, A MASSAGE THERAPY BUSINESS,71 RAILROAD PLACE, SARATOGA SPRINGS, NY. START DATE OF 4/1/08, NOT INVESTMENT RELATED, 8 HOURS PER MONTH. 3. TREASURER-CONDO ASSOCIATION, 918 OCEAN DRIVE, MIAMI BEACH, FL 33139, 2 HOURS/MO, INVESTMENT RELATED, START DATE 5/4/08. 4. 100% OWNER OF SARATOGA PROPERTY MGNT LLC LOCATED AT 9 BIRCH HILL CT. BALLSTON LAKE NY 12019. 1 HOUR/MO. INVESTMENT RELATED. 5. 100% OWNER, RENTAL PROPERTY; 918 OCEAN DR, MIAMI BEACH, FL 33139; INVESTMENT RELATED; BASIC LANDLORD/MANAGEMENT RESPONSIBILITIES; START DATE 8/15/13 (PREVIOUSLY 50% OWNER SINCE 2002) 6. OWNER, BEHHAS LLC (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 1/19/2024, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-15
S63 Uniform Securities Agent State Law Examination 1987-04-04
  • S65 Uniform Investment Adviser Law Examination
    1999-11-15
  • S63 Uniform Securities Agent State Law Examination
    1987-04-04
Designations

View on SEC IAPD

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