| Thomas Arundale | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Aug 23, 2024 | Oct 22, 2024 (60 d) |
| Kingsley Wong | Northwestern Mutual Investment Services,LLC no RAUM | Tamar Securities, LLC independent RIA | Other | Aug 21, 2024 | Sep 16, 2024 |
| Jonathan Andrew Rains | Northwestern Mutual Investment Services,LLC no RAUM | Hornor, Townsend & Kent, LLC BD affiliated | Other | Aug 19, 2024 | Jul 2, 2024 |
| Alexander Maxwell Koch | Northwestern Mutual Investment Services,LLC no RAUM | Raymond James Financial Services Advisors, Inc BD affiliated | Other | Aug 19, 2024 | Aug 1, 2024 |
| Emily Elizabeth Gabriel | Northwestern Mutual Investment Services,LLC no RAUM | Raymond James Financial Services Advisors, Inc BD affiliated | Other | Aug 14, 2024 | Jul 29, 2024 |
| David Lewis | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Aug 13, 2024 | Aug 9, 2024 |
| William Brandon Gooding | Northwestern Mutual Investment Services,LLC no RAUM | Mainsail Asset Management, LLC independent RIA | Other | Aug 13, 2024 | Sep 3, 2024 |
| Milford Carter | Northwestern Mutual Investment Services,LLC no RAUM | Money Concepts Advisory Service BD affiliated | Other | Aug 1, 2024 | Jul 8, 2024 |
| Stephen Anthony Stavrou | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Jul 25, 2024 | Aug 30, 2024 (36 d) |
| Tyson Carl Frerking | Northwestern Mutual Investment Services,LLC no RAUM | Fisher Investments independent RIA | Other | Jul 23, 2024 | Dec 2, 2024 (132 d) |
| John Allen Pilkinton | Northwestern Mutual Investment Services,LLC no RAUM | Peak American Investment Advisors, Inc. independent RIA | Other | Jul 15, 2024 | Oct 29, 2024 (106 d) |
| Christa Liane Rubenzer Schonscheck | Northwestern Mutual Investment Services,LLC no RAUM | Retirement Income Strategies, LLC independent RIA | Other | Jul 11, 2024 | Nov 13, 2024 (125 d) |
| Bryce Hefner | Northwestern Mutual Investment Services,LLC no RAUM | Hornor, Townsend & Kent, LLC BD affiliated | Other | Jul 11, 2024 | Jul 2, 2024 |
| Kelly Lyn Hoezee | Northwestern Mutual Investment Services,LLC no RAUM | Principal Securities, Inc. BD affiliated | Other | Jul 9, 2024 | Jul 24, 2024 |
| Michael David Lyubinsky | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Jul 2, 2024 | Jun 25, 2024 |
| Amanpreet Singh Kohli | Northwestern Mutual Investment Services,LLC no RAUM | Strategic Advisers LLC national BD | Other | Jun 28, 2024 | May 8, 2025 (314 d) |
| James Joseph Broderick | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Jun 26, 2024 | Oct 23, 2024 (119 d) |
| Muralidharan George | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jun 21, 2024 | Jul 3, 2024 |
| Frank Edward Lee | Northwestern Mutual Investment Services,LLC no RAUM | Scf Investment Advisors, Inc. BD affiliated | Other | Jun 21, 2024 | Jul 10, 2024 |
| Darrin Michael Sharp | Northwestern Mutual Investment Services,LLC no RAUM | Milestone Investment Advisors, LLC independent RIA | Other | Jun 20, 2024 | Jun 25, 2024 |
| Andrew Newsom | Northwestern Mutual Investment Services,LLC no RAUM | Edward Jones national BD | Other | Jun 18, 2024 | Jul 20, 2024 (32 d) |
| Karolyn Joy Wotring | Northwestern Mutual Investment Services,LLC no RAUM | Hornor, Townsend & Kent, LLC BD affiliated | Other | Jun 7, 2024 | Jan 8, 2025 (215 d) |
| Natalie Petrice Hammond | Northwestern Mutual Investment Services,LLC no RAUM | Primerica Advisors national BD | Other | Jun 7, 2024 | Jun 17, 2024 |
| Dylan Wade Martin | Northwestern Mutual Investment Services,LLC no RAUM | The Fiduciary Alliance independent RIA | Other | May 31, 2024 | Jun 17, 2024 |
| Luis Alberto Salinas | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | May 30, 2024 | May 21, 2024 |
| Bradley Steven Vick | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | May 29, 2024 | May 21, 2024 |
| Judith M Noffke | Northwestern Mutual Investment Services,LLC no RAUM | Cadaret Grant & Co Inc BD affiliated | Other | May 29, 2024 | Jun 3, 2024 |
| Boyd Barnhardt | Northwestern Mutual Investment Services,LLC no RAUM | Alphastar Capital Management independent RIA | Other | May 29, 2024 | Jul 30, 2024 (62 d) |
| Kimberly A Cox | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | May 28, 2024 | May 21, 2024 |
| Andrea S Schrieffer | Northwestern Mutual Investment Services,LLC no RAUM | Great Valley Advisor Group, LLC independent RIA | Other | May 28, 2024 | May 16, 2024 |
| Kyle Hoeppner | Northwestern Mutual Investment Services,LLC no RAUM | Russell Investments other | Other | May 24, 2024 | Jun 21, 2024 |
| Kenny Heller | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | May 24, 2024 | Jun 17, 2024 |
| Shadi Maasri | Northwestern Mutual Investment Services,LLC no RAUM | Secure Asset Management, L.L.C. independent RIA | Other | May 17, 2024 | May 7, 2024 |
| Martin Lewis Schmidt | Northwestern Mutual Investment Services,LLC no RAUM | Carrera Capital Advisors independent RIA | Other | May 16, 2024 | Jan 1, 2025 (230 d) |
| Ryan C Mcintyre | Northwestern Mutual Investment Services,LLC no RAUM | Wells Fargo Advisors wirehouse | Other | May 16, 2024 | May 1, 2026 (715 d) |
| Joseph M Loewenstein | Northwestern Mutual Investment Services,LLC no RAUM | Cambridge Investment Research Advisors, Inc. BD affiliated | Other | May 16, 2024 | May 16, 2024 |
| Toshua Phillips | Northwestern Mutual Investment Services,LLC no RAUM | Raymond James & Associates, Inc. national BD | Other | May 16, 2024 | Jan 15, 2025 (244 d) |
| Alyssa Zuck | Northwestern Mutual Investment Services,LLC no RAUM | Wealth Enhancement Advisory Services, LLC independent RIA | Other | May 15, 2024 | May 16, 2024 |
| Christian Kubosh | Northwestern Mutual Investment Services,LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | May 2, 2024 | Jun 18, 2024 (47 d) |
| Chase Caldwell | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Apr 29, 2024 | Jul 8, 2024 (70 d) |
| Michele Brehm | Northwestern Mutual Investment Services,LLC no RAUM | Ellenbecker Investment Group independent RIA | Other | Apr 24, 2024 | Jun 6, 2024 (43 d) |
| Dereck Cochran | Northwestern Mutual Investment Services,LLC no RAUM | Commonwealth Financial Network national BD | Other | Apr 24, 2024 | Apr 25, 2024 |
| Charles William Castino | Northwestern Mutual Investment Services,LLC no RAUM | Indie Asset Partners, LLC independent RIA | Other | Apr 22, 2024 | Apr 24, 2024 |
| Rebecca Kathleen Gaylord | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Apr 17, 2024 | Mar 18, 2024 |
| Steven Mccabe Bruce | Northwestern Mutual Investment Services,LLC no RAUM | Bruce Wood Capital, LLC state registered | Other | Apr 16, 2024 | Feb 13, 2025 (303 d) |
| Kathleen Jo Wood | Northwestern Mutual Investment Services,LLC no RAUM | Bruce Wood Capital, LLC state registered | Other | Apr 16, 2024 | Feb 13, 2025 (303 d) |
| Christopher Patrick Reid | Northwestern Mutual Investment Services,LLC no RAUM | Woodward Financial Advisors, Inc. independent RIA | Other | Apr 15, 2024 | Mar 19, 2025 (338 d) |
| Matt Flaks | Northwestern Mutual Investment Services,LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Apr 11, 2024 | Jun 27, 2024 (77 d) |
| Keith A Dickerson | Northwestern Mutual Investment Services,LLC no RAUM | Robert W. Baird & Co. Incorporated mixed wealth | Other | Apr 10, 2024 | Sep 14, 2026 (887 d) |
| Janelle L Aldridge | Northwestern Mutual Investment Services,LLC no RAUM | LPL Enterprise, LLC no RAUM | Other | Apr 3, 2024 | Aug 22, 2024 (141 d) |
| Drew Tuchfarber | Northwestern Mutual Investment Services,LLC no RAUM | Fifth Third Securities, Inc. BD affiliated | Other | Apr 3, 2024 | Apr 10, 2024 |
| Philip John Ferrara | Northwestern Mutual Investment Services,LLC no RAUM | Scholar Financial Advising, LLC no RAUM | Other | Apr 2, 2024 | Apr 29, 2025 (392 d) |
| Anthony Campbell | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 26, 2024 | Feb 14, 2025 (325 d) |
| Evelyn Zuk | Northwestern Mutual Investment Services,LLC no RAUM | Osaic Fa, Inc. BD affiliated | Other | Mar 26, 2024 | Jun 14, 2024 (80 d) |
| Joseph Dwyer | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Mar 22, 2024 | Mar 1, 2024 |
| Nico Joseph Santaniello | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Mar 1, 2024 | Feb 16, 2024 |
| David Jeffrey Eisenhauer | Northwestern Mutual Investment Services,LLC no RAUM | Greykasell Wealth Strategies, Inc. independent RIA | Other | Feb 29, 2024 | Jan 1, 2025 (307 d) |
| Thanh Tran | Northwestern Mutual Investment Services,LLC no RAUM | Park Avenue Securities LLC BD affiliated | Other | Feb 27, 2024 | Mar 7, 2024 |
| Eric Christopher Restrepo | Northwestern Mutual Investment Services,LLC no RAUM | Lifeworks Advisors, LLC independent RIA | Other | Feb 22, 2024 | Mar 5, 2024 |
| Joshua Daniel Magnus | Northwestern Mutual Investment Services,LLC no RAUM | Wealthbuilders Investments independent RIA | Other | Feb 16, 2024 | Mar 24, 2024 (37 d) |