| Joseph Michael Faragasso | Northwestern Mutual Investment Services,LLC no RAUM | Citizens Securities, Inc. BD affiliated | Other | Jul 15, 2025 | Jun 4, 2025 |
| Jared Ross Fischer | Northwestern Mutual Investment Services,LLC no RAUM | Advisors Asset Management, Inc. mixed wealth | Other | Jul 9, 2025 | Sep 11, 2025 (64 d) |
| Jonathon Hollins | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Jun 27, 2025 | Dec 2, 2025 (158 d) |
| Adam Kotkoski | Northwestern Mutual Investment Services,LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Jun 25, 2025 | Jun 24, 2025 |
| Dylan Allred | Northwestern Mutual Investment Services,LLC no RAUM | Schwab Wealth Advisory, Inc. no RAUM | Other | Jun 24, 2025 | Aug 14, 2025 (51 d) |
| James R Driscoll | Northwestern Mutual Investment Services,LLC no RAUM | Rise North Capital Investment Advisors no RAUM | Other | Jun 23, 2025 | Dec 9, 2025 (169 d) |
| Tyler Davis | Northwestern Mutual Investment Services,LLC no RAUM | LPL Enterprise, LLC BD affiliated | Other | Jun 19, 2025 | Dec 11, 2025 (175 d) |
| Scott William Yeomans | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Jun 16, 2025 | Aug 25, 2025 (70 d) |
| Amalea Zegarzewski | Northwestern Mutual Investment Services,LLC no RAUM | Schwab Wealth Advisory, Inc. no RAUM | Other | Jun 16, 2025 | Jun 27, 2025 |
| Joseph Theodore Mecenas | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Jun 13, 2025 | Nov 3, 2025 (143 d) |
| Stephen M Plackis | Northwestern Mutual Investment Services,LLC no RAUM | Bfc Planning, Inc. BD affiliated | Other | Jun 12, 2025 | May 29, 2025 |
| Erin Geraldine Caldwell | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Jun 12, 2025 | Jan 1, 2026 (203 d) |
| Donny Wayne Walberg | Northwestern Mutual Investment Services,LLC no RAUM | U.S. Bancorp Investments, Inc. BD affiliated | Other | Jun 11, 2025 | Jul 1, 2025 |
| Gavin Edward Bizeau | Northwestern Mutual Investment Services,LLC no RAUM | Larson Financial Group, LLC BD affiliated | Other | Jun 11, 2025 | Sep 8, 2025 (89 d) |
| Jonathan Wolanyk | Northwestern Mutual Investment Services,LLC no RAUM | Northstar Financial Planning, LLC independent RIA | Other | Jun 6, 2025 | Jul 9, 2025 (33 d) |
| Nicholas John Dodds | Northwestern Mutual Investment Services,LLC no RAUM | Cambridge Investment Research Advisors, Inc. BD affiliated | Other | Jun 5, 2025 | Jun 2, 2025 |
| Samuel Hunter Beall | Northwestern Mutual Investment Services,LLC no RAUM | Creativeone Wealth, LLC independent RIA | Other | Jun 5, 2025 | Jun 3, 2025 |
| Gene Allen Larock | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Jun 3, 2025 | Jun 2, 2025 |
| Joanna Maria Pappas | Northwestern Mutual Investment Services,LLC no RAUM | First Citizens Investor Services, Inc. BD affiliated | Other | May 30, 2025 | Jun 4, 2025 |
| Joseph W Hiller | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | May 30, 2025 | Jun 10, 2025 |
| William Beardmore | Northwestern Mutual Investment Services,LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | May 22, 2025 | May 21, 2025 |
| Rory Eldredge | Northwestern Mutual Investment Services,LLC no RAUM | Charles Schwab & Co., Inc. national BD | Other | May 16, 2025 | May 29, 2025 |
| Alexis E Rodriguez | Northwestern Mutual Investment Services,LLC no RAUM | Independent Financial Partners BD affiliated | Other | May 16, 2025 | Aug 12, 2025 (88 d) |
| Christina Marie Harmon | Northwestern Mutual Investment Services,LLC no RAUM | Wells Fargo Advisors wirehouse | Other | May 15, 2025 | Jun 16, 2025 (32 d) |
| Daniel Brian Maude | Northwestern Mutual Investment Services,LLC no RAUM | Wells Fargo Advisors wirehouse | Other | May 13, 2025 | Jul 9, 2025 (57 d) |
| Jorge Cordova | Northwestern Mutual Investment Services,LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | May 8, 2025 | Apr 22, 2025 |
| Joshua Thomas Wall | Northwestern Mutual Investment Services,LLC no RAUM | Osaic Wealth, Inc. BD affiliated | Other | May 7, 2025 | Apr 23, 2025 |
| Gabriel Anthony Moser | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | May 6, 2025 | Jun 30, 2025 (55 d) |
| Kathleen Wilson Tillman | Northwestern Mutual Investment Services,LLC no RAUM | Esi Financial Advisors independent RIA | Other | May 5, 2025 | May 20, 2025 |
| Zachary William Motl | Northwestern Mutual Investment Services,LLC no RAUM | Brady Martz Wealth Solutions, LLC independent RIA | Other | May 2, 2025 | May 14, 2025 |
| Roger Ventura | Northwestern Mutual Investment Services,LLC no RAUM | Citigroup Global Markets Inc. BD affiliated | Other | May 1, 2025 | May 16, 2025 |
| Dalton A Grados | Northwestern Mutual Investment Services,LLC no RAUM | Morgan Stanley wirehouse | Other | May 1, 2025 | Jun 30, 2025 (60 d) |
| Amanda Smith | Northwestern Mutual Investment Services,LLC no RAUM | Raymond James Financial Services Advisors, Inc BD affiliated | Other | May 1, 2025 | May 12, 2025 |
| Angel Julian Cambron | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Apr 29, 2025 | Sep 15, 2025 (139 d) |
| Zachary Charles Lawson | Northwestern Mutual Investment Services,LLC no RAUM | Cetera Investment Advisers LLC BD affiliated | Other | Apr 25, 2025 | Apr 21, 2025 |
| Gabriel Louis Gould | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Apr 23, 2025 | Jul 28, 2025 (96 d) |
| Eli Ford | Northwestern Mutual Investment Services,LLC no RAUM | Fbl Wealth Management, LLC BD affiliated | Other | Apr 18, 2025 | Jun 26, 2025 (69 d) |
| Jake Luthardt | Northwestern Mutual Investment Services,LLC no RAUM | Wells Fargo Advisors wirehouse | Other | Apr 15, 2025 | May 8, 2025 |
| Nicholas M Pagliai | Northwestern Mutual Investment Services,LLC no RAUM | Lincoln Investment independent RIA | Other | Apr 7, 2025 | Sep 29, 2025 (175 d) |
| Justin David Mann | Northwestern Mutual Investment Services,LLC no RAUM | Strategic Advisers LLC national BD | Other | Apr 7, 2025 | Sep 25, 2025 (171 d) |
| Michael Andrew Mireles | Northwestern Mutual Investment Services,LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Apr 1, 2025 | Apr 5, 2025 |
| Stephanie Elaine Van Dyke | Northwestern Mutual Investment Services,LLC no RAUM | Onepoint Bfg Wealth Partners independent RIA | Other | Mar 26, 2025 | Mar 30, 2026 (369 d) |
| Johnathan Irions | Northwestern Mutual Investment Services,LLC no RAUM | Edge Financial Advisors, LLC independent RIA | Other | Mar 26, 2025 | Apr 18, 2025 |
| Jack Knutson | Northwestern Mutual Investment Services,LLC no RAUM | Modern Wealth Management, LLC independent RIA | Other | Mar 21, 2025 | Mar 18, 2025 |
| Lisa Ruggery Bolten | Northwestern Mutual Investment Services,LLC no RAUM | Vanguard Advisers, Inc. BD affiliated | Other | Mar 11, 2025 | Apr 1, 2025 |
| James A Dunn | Northwestern Mutual Investment Services,LLC no RAUM | Edward Jones national BD | Other | Mar 10, 2025 | Apr 28, 2025 (49 d) |
| Ryan S. Ericksen | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Mar 5, 2025 | Mar 7, 2025 |
| Thomas J. Eich | Northwestern Mutual Investment Services,LLC no RAUM | RBC Capital Markets, LLC national BD | Other | Mar 5, 2025 | Jul 13, 2026 (495 d) |
| Christina Faith Davis | Northwestern Mutual Investment Services,LLC no RAUM | Mikhael Paul state registered | Other | Mar 5, 2025 | Jun 2, 2025 (89 d) |
| David Michael Tiutczenko | Northwestern Mutual Investment Services,LLC no RAUM | East Valley Wealth LLC state registered | Other | Feb 28, 2025 | Mar 10, 2025 |
| Joseph Priore | Northwestern Mutual Investment Services,LLC no RAUM | Park Avenue Securities LLC BD affiliated | Other | Feb 28, 2025 | Apr 14, 2025 (45 d) |
| Brian David Mirman | Northwestern Mutual Investment Services,LLC no RAUM | Corient independent RIA | Other | Feb 26, 2025 | May 2, 2025 (65 d) |
| Michael Cusick | Northwestern Mutual Investment Services,LLC no RAUM | Citizens Securities, Inc. BD affiliated | Other | Feb 24, 2025 | Feb 25, 2025 |
| David T Carruth | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Feb 21, 2025 | Feb 12, 2025 |
| Taylor M Holloway | Northwestern Mutual Investment Services,LLC no RAUM | Ridgeline Wealth Advisors, LLC. independent RIA | Other | Feb 21, 2025 | Mar 17, 2025 |
| Heather Lea Williams | Northwestern Mutual Investment Services,LLC no RAUM | Park Avenue Securities LLC BD affiliated | Other | Feb 20, 2025 | Mar 28, 2025 (36 d) |
| Corey Kiewiet | Northwestern Mutual Investment Services,LLC no RAUM | Summit Financial, LLC BD affiliated | Other | Feb 20, 2025 | Feb 19, 2025 |
| Ryan Blair Stewart | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Feb 14, 2025 | Jan 13, 2025 |
| Katherine Mackrell Oven | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Feb 11, 2025 | Mar 6, 2025 |
| Jeremiah Harrison Askew Kinzie | Northwestern Mutual Investment Services,LLC no RAUM | The Ameriflex Group BD affiliated | Other | Feb 11, 2025 | Feb 14, 2025 |