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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2008-04-24
  • TX RA
    APPROVED_RES
    Since 2008-04-24

Branch Locations

1 Riverway Ste 900, Houston, TX 77056 • 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 Investment Services, Llc Milwaukee WI 02/1994 Present
Northwesern Mutual Life Insurance Company Milwaukee WI 08/2007 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 Present
  • 02/1994 → Present
    Milwaukee, WI
  • 08/2007 → Present
    Northwesern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2016 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Other Businesses

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. 33.3% OWNER, DOSS TREE FARM, CHICKASAW COUNTY, STARKVILLE, , MISSISSIPPI, 39760, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 12/19/2018, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, ANNUAL(1-2X/YEAR) COMMUNICATION WITH LAND MANAGEMENT GROUP

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-05-09
  • S63 Uniform Securities Agent State Law Examination
    1994-05-09
Other Names
  • Bob Smith

View on SEC IAPD

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