| David Cawley | Northwestern Mutual Investment Services,LLC no RAUM | Cambridge Investment Research Advisors, Inc. BD affiliated | Other | Feb 10, 2025 | May 19, 2025 (98 d) |
| Chad Alan Thomas-Killam | Northwestern Mutual Investment Services,LLC no RAUM | Potomac asset manager | Other | Feb 7, 2025 | Mar 5, 2025 |
| Jarod Rucker | Northwestern Mutual Investment Services,LLC no RAUM | Hightower Advisors, LLC BD affiliated | Other | Feb 5, 2025 | Feb 4, 2025 |
| Dan David Seeds | Northwestern Mutual Investment Services,LLC no RAUM | Cetera Investment Advisers LLC BD affiliated | Other | Feb 4, 2025 | Feb 19, 2025 |
| Michael Mildrum | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Feb 4, 2025 | Jan 17, 2025 |
| Chester S Todd | Northwestern Mutual Investment Services,LLC no RAUM | Morgan Stanley wirehouse | Other | Feb 3, 2025 | Feb 24, 2025 |
| Caleb White | Northwestern Mutual Investment Services,LLC no RAUM | Provision Wealth Management, Inc state registered | Other | Jan 30, 2025 | Jan 30, 2025 |
| Connor Low | Northwestern Mutual Investment Services,LLC no RAUM | Private Client Services, LLC BD affiliated | Other | Jan 30, 2025 | Jan 2, 2025 |
| Darren Jarosik | Northwestern Mutual Investment Services,LLC no RAUM | The Ascent Group, LLC independent RIA | Other | Jan 29, 2025 | Apr 4, 2025 (65 d) |
| Lawrence Johnson | Northwestern Mutual Investment Services,LLC no RAUM | LPL Enterprise, LLC no RAUM | Other | Jan 23, 2025 | Jan 31, 2025 |
| Robert Wirthwein | Northwestern Mutual Investment Services,LLC no RAUM | Hsbc Securities (USA) Inc. BD affiliated | Other | Jan 23, 2025 | Jan 24, 2025 |
| Gregory James Vogel | Northwestern Mutual Investment Services,LLC no RAUM | Lincolnbridge Financial Planning, LLC no RAUM | Other | Jan 16, 2025 | Jan 7, 2025 |
| Richard R Davis | Northwestern Mutual Investment Services,LLC no RAUM | LPL Enterprise, LLC BD affiliated | Other | Jan 15, 2025 | Jul 3, 2026 (534 d) |
| Kayleigh Zarndt | Northwestern Mutual Investment Services,LLC no RAUM | Apollon Financial, LLC independent RIA | Other | Jan 15, 2025 | Apr 24, 2025 (99 d) |
| Nicholas C George | Northwestern Mutual Investment Services,LLC no RAUM | Clearmind Capital state registered | Other | Jan 14, 2025 | Jan 17, 2025 |
| Joshua Justun Jones | Northwestern Mutual Investment Services,LLC no RAUM | Gateway Wealth Partners, LLC independent RIA | Other | Jan 13, 2025 | Jan 14, 2025 |
| Theodore Kanakaris | Northwestern Mutual Investment Services,LLC no RAUM | Lincoln Investment independent RIA | Other | Jan 13, 2025 | Jan 15, 2025 |
| Brian Newman | Northwestern Mutual Investment Services,LLC no RAUM | Integrity Alliance, LLC BD affiliated | Other | Jan 13, 2025 | Jan 13, 2025 |
| Cynthia Robyn Durdin | Northwestern Mutual Investment Services,LLC no RAUM | Music Row Wealth Management independent RIA | Other | Jan 6, 2025 | Jan 14, 2025 |
| Alan Abraham Zwicker | Northwestern Mutual Investment Services,LLC no RAUM | Goodman Advisory Group, LLC independent RIA | Other | Jan 6, 2025 | Sep 9, 2025 (246 d) |
| Luke Philip Toews | Northwestern Mutual Investment Services,LLC no RAUM | Morgan Stanley wirehouse | Other | Dec 31, 2024 | Jan 27, 2025 |
| Aimee Keeney | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Dec 16, 2024 | Nov 15, 2024 |
| Justin Tate | Northwestern Mutual Investment Services,LLC no RAUM | Cwm, LLC BD affiliated | Other | Dec 13, 2024 | Apr 6, 2026 (479 d) |
| Angel Roman | Northwestern Mutual Investment Services,LLC no RAUM | State Farm Investment Management Corp. asset manager | Other | Dec 12, 2024 | Mar 18, 2025 (96 d) |
| Timothy M Church | Northwestern Mutual Investment Services,LLC no RAUM | Hornor, Townsend & Kent, LLC BD affiliated | Other | Dec 9, 2024 | Jun 5, 2025 (178 d) |
| Connor Baker | Northwestern Mutual Investment Services,LLC no RAUM | Asset Allocation Strategies, LLC independent RIA | Other | Dec 5, 2024 | Jan 1, 2025 |
| Robert Joseph Ruelle | Northwestern Mutual Investment Services,LLC no RAUM | Apollon Wealth Management, LLC independent RIA | Other | Dec 3, 2024 | Dec 20, 2024 |
| Clint A Heisler | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Dec 3, 2024 | Nov 18, 2024 |
| Ryan William Schmidt | Northwestern Mutual Investment Services,LLC no RAUM | LPL Enterprise, LLC no RAUM | Other | Dec 3, 2024 | Dec 5, 2024 |
| Richard Blair Holman | Northwestern Mutual Investment Services,LLC no RAUM | Robert W. Baird & Co. Incorporated mixed wealth | Other | Nov 27, 2024 | Nov 5, 2024 |
| James J Kennedy | Northwestern Mutual Investment Services,LLC no RAUM | Mercer Global Advisors Inc. independent RIA | Other | Nov 27, 2024 | Mar 4, 2025 (97 d) |
| Reed D Smith | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Nov 25, 2024 | Feb 11, 2025 (78 d) |
| Kevin W Sides | Northwestern Mutual Investment Services,LLC no RAUM | Mooney Financial state registered | Other | Nov 22, 2024 | Nov 22, 2024 |
| Reem Rawashdeh | Northwestern Mutual Investment Services,LLC no RAUM | Raymond James & Associates, Inc. national BD | Other | Nov 19, 2024 | Nov 21, 2024 |
| Vanessa Elise Altom | Northwestern Mutual Investment Services,LLC no RAUM | Principal Securities, Inc. BD affiliated | Other | Nov 18, 2024 | Dec 26, 2024 (38 d) |
| Joseph M Monteleone | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Nov 7, 2024 | Nov 14, 2024 |
| Adam Fallert | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 7, 2024 | Nov 12, 2024 |
| Preston Mark Haas | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Nov 7, 2024 | Nov 4, 2024 |
| Michael Allen Case | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Nov 6, 2024 | Nov 5, 2024 |
| Myles Pennington Allingham | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Nov 1, 2024 | Nov 14, 2024 |
| Dominic Schultz Boggio | Northwestern Mutual Investment Services,LLC no RAUM | Thrivent Investment Management Inc. BD affiliated | Other | Oct 22, 2024 | Nov 13, 2024 |
| Brian John Kage | Northwestern Mutual Investment Services,LLC no RAUM | Benjamin F. Edwards & Company, Incorporated BD affiliated | Other | Oct 16, 2024 | Dec 10, 2024 (55 d) |
| Joel Silloway | Northwestern Mutual Investment Services,LLC no RAUM | Arcadia Wealth Management, LLC independent RIA | Other | Oct 16, 2024 | Nov 15, 2024 |
| Jeffrey Thomas Bone | Northwestern Mutual Investment Services,LLC no RAUM | Fra Wealth Management LLC independent RIA | Other | Oct 10, 2024 | Mar 20, 2025 (161 d) |
| Emily Meredith | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Oct 10, 2024 | Oct 31, 2024 |
| Lauren Michele Fakonas | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Oct 10, 2024 | Oct 4, 2024 |
| Ronald Lynn Herron | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Oct 7, 2024 | Feb 13, 2025 (129 d) |
| Solmaz Morales | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 2, 2024 | Oct 14, 2024 |
| Blake Sneed | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 1, 2024 | Oct 23, 2024 |
| Michael S Macfarlane | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Sep 20, 2024 | Sep 16, 2024 |
| William F Beck | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Sep 20, 2024 | Sep 17, 2024 |
| Colin Rissler | Northwestern Mutual Investment Services,LLC no RAUM | Charles Schwab & Co., Inc. national BD | Other | Sep 20, 2024 | Dec 17, 2024 (88 d) |
| Noel Justin Kaminski | Northwestern Mutual Investment Services,LLC no RAUM | Esi Financial Advisors independent RIA | Other | Sep 18, 2024 | Sep 25, 2024 |
| Vincent Joseph Cagnina | Northwestern Mutual Investment Services,LLC no RAUM | Park Avenue Securities LLC BD affiliated | Other | Sep 17, 2024 | Jul 15, 2025 (301 d) |
| Zachary Adam Gasper | Northwestern Mutual Investment Services,LLC no RAUM | Perspective Wealth Advisors no RAUM | Other | Sep 9, 2024 | Sep 9, 2024 |
| Cole Gunnar Johnson | Northwestern Mutual Investment Services,LLC no RAUM | Perspective Wealth Advisors no RAUM | Other | Sep 9, 2024 | Sep 9, 2024 |
| Shawn Rooney | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Sep 4, 2024 | Oct 8, 2024 (34 d) |
| Caleb James Sturgis | Northwestern Mutual Investment Services,LLC no RAUM | Koss-Olinger Consulting, LLC. independent RIA | Other | Aug 30, 2024 | Oct 30, 2024 (61 d) |
| Anthony I Smith | Northwestern Mutual Investment Services,LLC no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Other | Aug 27, 2024 | Oct 5, 2024 (39 d) |
| Christopher Michael Rivas | Northwestern Mutual Investment Services,LLC no RAUM | Goldman Sachs Wealth Services, L.P. BD affiliated | Other | Aug 26, 2024 | Sep 4, 2024 |