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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-01-31
  • FL RA
    APPROVED
    Since 2024-01-31

Branch Locations

St Petersburg, FL • United States

1191 Northland Dr Ste 150, Mendota Hts, MN 55120 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Mankato State University Mankato MN 09/1984 Present
Northwestern Mutual Life Mankato MN 01/1987 Present
Northwestern Mutual Investment Services, Llc Milwaukee WI 09/1988 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 05/2007 Present
Northwestern Mutual Investment Services, Llc Edina MN 04/2010 Present
Other Businesses

1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES, OR INSURANCE BROKERAGE AGENCIES, NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS, INVESTMENT RELATED. 2. 19.30% OWNER, RIVERFRONT HOTEL LLC, MAYOWOOD ROAD SW, ROCHESTER, , MINNESOTA, 55902, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 12/15/2016, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ONLY A FINANCIAL INVESTOR 3. <10% OWNER, TPS ROCHESTER 1 LLC, 2519 COMMERCE DRIVE NW, SUITE 200, ROCHESTER, , MINNESOTA, 55901, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 1/3/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NONE/PASSIVE INVESTOR 4. PRESIDENT, BUFFALO LAKE, LLC, MARYSVILLE TOWNSHIP, , MINNESOTA, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 6/3/2011, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LAND DEVELOPMENT IN THE FUTURE 5. PRESIDENT, BUFFALO LAKE, LLC, MARYSVILLE TOWNSHIP, , MINNESOTA, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 6/3/2011, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LAND DEVELOPMENT IN THE FUTURE 6. <10% OWNER, 16TH ST. SW AND MAYOWOOD ROAD SW , 16TH ST. SW AND MAYOWOOD ROAD SW, ROCHESTER, , MINNESOTA, 55901, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 11/22/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NOTHING BUT PASSIVE INVESTMENT 7. 100% OWNER, MME TEAM, LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 11/03/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 8. 100% OWNER, LAND, MARYSVILLE TOWNSHIP, , MINNESOTA, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 3/23/2011, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, INVESTMENT IN REAL ESTATE

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-06
S63 Uniform Securities Agent State Law Examination 1989-01-20
  • S65 Uniform Investment Adviser Law Examination
    1999-10-06
  • S63 Uniform Securities Agent State Law Examination
    1989-01-20
Designations
Other Names
  • Mike Erpelding

View on SEC IAPD

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