| Patrick Mathias Burke | Northwestern Mutual Investment Services,LLC no RAUM | Empower Advisory Group, LLC other | Other | Sep 20, 2021 | Nov 3, 2021 (44 d) |
| Robin Leslie Faulkner-Harrison | Northwestern Mutual Investment Services,LLC no RAUM | On Investment Management Co BD affiliated | Other | Sep 18, 2021 | Oct 21, 2021 (33 d) |
| Nathaniel Stevens Ewoldt | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Sep 17, 2021 | Sep 16, 2021 |
| Emily Mccracken | Northwestern Mutual Investment Services,LLC no RAUM | Venturi Private Wealth independent RIA | Other | Sep 14, 2021 | Oct 5, 2021 |
| Kristen Marie Vande Bossche | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Sep 8, 2021 | Sep 7, 2021 |
| Matthew Edward Assunto | Northwestern Mutual Investment Services,LLC no RAUM | Raymond James & Associates, Inc. national BD | Other | Sep 8, 2021 | Nov 8, 2021 (61 d) |
| Patrick J Vande Bossche | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Sep 8, 2021 | Sep 7, 2021 |
| John Robert Vande Bossche | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Sep 7, 2021 | Sep 7, 2021 |
| Matthew Richard Hodges | Northwestern Mutual Investment Services,LLC no RAUM | Dreamfield Planning Group, LLC state registered | Other | Sep 1, 2021 | Jan 11, 2022 (132 d) |
| Joseph H Johnson | Northwestern Mutual Investment Services,LLC no RAUM | Morgan Stanley wirehouse | Other | Sep 1, 2021 | Sep 16, 2021 |
| Bethany M. Gonzalez | Northwestern Mutual Investment Services,LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Aug 31, 2021 | Apr 18, 2022 (230 d) |
| John Glander | Northwestern Mutual Investment Services,LLC no RAUM | Wellington Wealth Strategies, LLC independent RIA | Other | Aug 26, 2021 | Aug 18, 2021 |
| Michael Sabra | Northwestern Mutual Investment Services,LLC no RAUM | Citizens Securities, Inc. BD affiliated | Other | Aug 24, 2021 | Sep 14, 2021 |
| Thomas Clark Williamson | Northwestern Mutual Investment Services,LLC no RAUM | Td Ameritrade, Inc. no RAUM | Other | Aug 18, 2021 | Jan 27, 2022 (162 d) |
| Alejandro Miguel Velazquez | Northwestern Mutual Investment Services,LLC no RAUM | Carnegie Investment Counsel independent RIA | Other | Aug 18, 2021 | Feb 5, 2025 (1267 d) |
| Maribeth Gunger | Northwestern Mutual Investment Services,LLC no RAUM | Edward Jones national BD | Other | Aug 17, 2021 | Aug 17, 2023 (730 d) |
| David Brian Test | Northwestern Mutual Investment Services,LLC no RAUM | Avantax Advisory Services BD affiliated | Other | Aug 12, 2021 | Nov 9, 2021 (89 d) |
| Jacob F Lippert | Northwestern Mutual Investment Services,LLC no RAUM | Fisher Investments independent RIA | Other | Aug 6, 2021 | Aug 19, 2021 |
| Teresa Lynn De La Torre | Northwestern Mutual Investment Services,LLC no RAUM | Morgan Stanley wirehouse | Other | Aug 3, 2021 | Aug 31, 2021 |
| Joseph Kurt Buckles | Northwestern Mutual Investment Services,LLC no RAUM | Valic Financial Advisors, Inc. BD affiliated | Other | Aug 2, 2021 | Jul 20, 2021 |
| Annmarie C Alaniz | Northwestern Mutual Investment Services,LLC no RAUM | Mette Associates, LLC state registered | Other | Jul 28, 2021 | May 16, 2023 (657 d) |
| Jamie Irving Mattioli | Northwestern Mutual Investment Services,LLC no RAUM | Cambridge Investment Research Advisors, Inc. BD affiliated | Other | Jul 28, 2021 | Jul 13, 2021 |
| Matthew Poznicek | Northwestern Mutual Investment Services,LLC no RAUM | Wells Fargo Advisors wirehouse | Other | Jul 28, 2021 | Jul 21, 2021 |
| Cyla Fromm-Minett | Northwestern Mutual Investment Services,LLC no RAUM | American Independent Securities Group, LLC independent RIA | Other | Jul 27, 2021 | Jan 27, 2022 (184 d) |
| Brett J Pawelkiewicz | Northwestern Mutual Investment Services,LLC no RAUM | Highpoint Planning Partners independent RIA | Other | Jul 27, 2021 | Apr 10, 2024 (988 d) |
| Sarah Elizabeth Arthur | Northwestern Mutual Investment Services,LLC no RAUM | Valeo Financial Advisors, LLC independent RIA | Other | Jul 24, 2021 | Jul 19, 2021 |
| Cedric Percell Powell | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Jul 22, 2021 | Jun 24, 2021 |
| Chad Frederick Wing | Northwestern Mutual Investment Services,LLC no RAUM | Canopy Wealth Management independent RIA | Other | Jul 19, 2021 | Jun 19, 2021 |
| James Carl Czirr | Northwestern Mutual Investment Services,LLC no RAUM | Mercer Global Advisors Inc. independent RIA | Other | Jul 12, 2021 | Aug 26, 2021 (45 d) |
| William M Bertscha | Northwestern Mutual Investment Services,LLC no RAUM | Oppenheimer & Co. Inc. BD affiliated | Other | Jul 2, 2021 | Sep 15, 2021 (75 d) |
| Harris D Greene | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Jun 28, 2021 | May 9, 2023 (680 d) |
| Michael Thomas Gentile | Northwestern Mutual Investment Services,LLC no RAUM | Cetera Investment Advisers LLC BD affiliated | Other | Jun 15, 2021 | Jun 2, 2021 |
| Rory Kyle Hartmann | Northwestern Mutual Investment Services,LLC no RAUM | Rfg Advisory, LLC independent RIA | Other | Jun 15, 2021 | May 24, 2021 |
| Nathan Alexander Littrell | Northwestern Mutual Investment Services,LLC no RAUM | Securian Financial Services, Inc. BD affiliated | Other | Jun 15, 2021 | Jun 21, 2021 |
| Aaron Charles Moore | Northwestern Mutual Investment Services,LLC no RAUM | Securian Financial Services, Inc. BD affiliated | Other | Jun 15, 2021 | Jun 29, 2021 |
| Christopher Michael Kaminski | Northwestern Mutual Investment Services,LLC no RAUM | Consilio Wealth Advisors, LLC no RAUM | Other | Jun 14, 2021 | Jun 14, 2021 |
| Nathaniel Michael Donohue | Northwestern Mutual Investment Services,LLC no RAUM | Consilio Wealth Advisors, LLC no RAUM | Other | Jun 14, 2021 | Jun 21, 2021 |
| David Rey Ybarra | Northwestern Mutual Investment Services,LLC no RAUM | Consilio Wealth Advisors, LLC no RAUM | Other | Jun 14, 2021 | Jun 14, 2021 |
| Louise D'Angelo Monti | Northwestern Mutual Investment Services,LLC no RAUM | Private Advisor Group, LLC BD affiliated | Other | Jun 11, 2021 | Jun 8, 2021 |
| Laura Marie Gillen | Northwestern Mutual Investment Services,LLC no RAUM | Avantax Planning Partners, Inc. independent RIA | Other | Jun 11, 2021 | Jun 15, 2021 |
| John Konefal | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Jun 10, 2021 | Jun 22, 2021 |
| Robert Angus Macarthur | Northwestern Mutual Investment Services,LLC no RAUM | Valmark Advisers, Inc. BD affiliated | Other | Jun 9, 2021 | Jun 1, 2021 |
| Mark T Lampereur | Northwestern Mutual Investment Services,LLC no RAUM | Thrivent Investment Management Inc. BD affiliated | Other | Jun 9, 2021 | Jul 26, 2021 (47 d) |
| Matthew Christopher Rhodes | Northwestern Mutual Investment Services,LLC no RAUM | Wells Fargo Advisors wirehouse | Other | Jun 8, 2021 | Apr 7, 2025 (1399 d) |
| Brian Jacob Knapp | Northwestern Mutual Investment Services,LLC no RAUM | Mosaic Family Wealth, LLC independent RIA | Other | Jun 7, 2021 | Jul 13, 2021 (36 d) |
| Arlette Pol | Northwestern Mutual Investment Services,LLC no RAUM | Morgan Stanley wirehouse | Other | Jun 7, 2021 | Jun 10, 2021 |
| Christine Marie Bennett | Northwestern Mutual Investment Services,LLC no RAUM | Wells Fargo Advisors wirehouse | Other | Jun 4, 2021 | Jun 3, 2021 |
| Jordan Paul Earles | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | May 26, 2021 | May 26, 2021 |
| Brook Drennen Acton | Northwestern Mutual Investment Services,LLC no RAUM | Cetera Investment Advisers LLC BD affiliated | Other | May 25, 2021 | Apr 17, 2021 |
| Samuel J Leidholm | Northwestern Mutual Investment Services,LLC no RAUM | E*Trade Capital Management, LLC independent RIA | Other | May 25, 2021 | Jul 27, 2021 (63 d) |
| Daniel R Ruiz | Northwestern Mutual Investment Services,LLC no RAUM | Mariner BD affiliated | Other | May 24, 2021 | Jun 15, 2021 |
| Jason Jones | Northwestern Mutual Investment Services,LLC no RAUM | Oneamerica Securities, Inc. BD affiliated | Other | May 18, 2021 | May 28, 2021 |
| Quinn Matthew Chatham | Northwestern Mutual Investment Services,LLC no RAUM | Fisher Investments independent RIA | Other | May 12, 2021 | Mar 7, 2025 (1395 d) |
| Scott Petersen | Northwestern Mutual Investment Services,LLC no RAUM | Edward Jones national BD | Other | May 10, 2021 | Jul 1, 2021 (52 d) |
| Nathan Pratt Budrow | Northwestern Mutual Investment Services,LLC no RAUM | Guardian Wealth Advisors, LLC independent RIA | Other | Apr 29, 2021 | Jul 16, 2021 (78 d) |
| Jeremy Wayne David | Northwestern Mutual Investment Services,LLC no RAUM | Noble Wealth state registered | Other | Apr 29, 2021 | Jan 3, 2022 (249 d) |
| Matthew Ray Haile | Northwestern Mutual Investment Services,LLC no RAUM | Scf Investment Advisors, Inc. BD affiliated | Other | Apr 21, 2021 | May 26, 2021 (35 d) |
| Zachary Wyatt Brody | Northwestern Mutual Investment Services,LLC no RAUM | Ameritas Advisory Services BD affiliated | Other | Apr 16, 2021 | May 15, 2021 |
| Dea Harizaj | Northwestern Mutual Investment Services,LLC no RAUM | Morgan Stanley wirehouse | Other | Apr 15, 2021 | Jun 2, 2021 (48 d) |
| Jose Miguel Hernandez-Gomez | Northwestern Mutual Investment Services,LLC no RAUM | Bankers Life Advisory Services, Inc. BD affiliated | Other | Apr 13, 2021 | Sep 2, 2021 (142 d) |