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Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Raleigh, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Apr 22, 2026 | n/a | yes | Raleigh, NC | Current employment |
| FRANKLIN STREET ADVISORS INC. | Bank affiliated wealth | Feb 25, 2021 | Mar 17, 2023 | no | CHAPEL HILL, NC | Previous registration |
| LIVE OAK PRIVATE WEALTH, LLC | Independent wealth | May 19, 2020 | Jan 27, 2021 | no | WILMINGTON, NC|Rocky Mount, NC | Previous registration |
| JOLLEY ASSET MANAGEMENT, LLC | Former SEC adviser | May 17, 2018 | Apr 30, 2020 | no | ROCKY MOUNT, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FRANKLIN STREET ADVISORS INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | Mar 17, 2023 | Apr 22, 2026 | 1,132 | Firm change after gap | Other |
| LIVE OAK PRIVATE WEALTH, LLC | FRANKLIN STREET ADVISORS INC. | Jan 27, 2021 | Feb 25, 2021 | 29 | Firm change | RIA to RIA |
| JOLLEY ASSET MANAGEMENT, LLC | LIVE OAK PRIVATE WEALTH, LLC | Apr 30, 2020 | May 19, 2020 | 19 | Firm change | RIA to RIA |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 113600:297904:NC:2020-04-30 | Apr 30, 2020 | May 19, 2020 | ROCKY MOUNT, NC | Firm change |