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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MT RA APPROVED 2003-09-12
  • MT RA
    APPROVED
    Since 2003-09-12

Branch Locations

404 North 31St Street Suite 120, Billings, MT 59101 • 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 06/1978 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 03/1987 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
  • 06/1978 → Present
    Northwestern Mutual Life Ins. Co.
    Milwaukee, WI
  • 03/1987 → Present
    Milwaukee, WI
  • 05/2007 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

1. 50% OWNER, 92 1138 1 OLANI ST (CONDO #2), 92 1138 1 OLANI ST, KAPOLEI, , HAWAII, 96707, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 9/30/2011, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LANDLORD 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-10
S63 Uniform Securities Agent State Law Examination 1987-07-21
  • S66 Uniform Combined State Law Examination
    2006-02-10
  • S63 Uniform Securities Agent State Law Examination
    1987-07-21
Designations
Other Names
  • Randy Daly

View on SEC IAPD

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