| Allison Modrak | Northwestern Mutual Investment Services,LLC no RAUM | Allworth Financial, L.P. BD affiliated | Other | Feb 13, 2024 | Feb 13, 2024 |
| Allison Marie Malcolm | Northwestern Mutual Investment Services,LLC no RAUM | Schwab Wealth Advisory, Inc. no RAUM | Other | Feb 12, 2024 | May 31, 2024 (109 d) |
| Steven Potwin | Northwestern Mutual Investment Services,LLC no RAUM | Citizens Securities, Inc. BD affiliated | Other | Feb 9, 2024 | Mar 21, 2024 (41 d) |
| Jordan Freund | Northwestern Mutual Investment Services,LLC no RAUM | Beacon Pointe Advisors, LLC independent RIA | Other | Feb 7, 2024 | Jan 29, 2024 |
| Mark David Riebesehl | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Jan 31, 2024 | Jan 24, 2024 |
| Hunter R Schwimmer | Northwestern Mutual Investment Services,LLC no RAUM | Affiance Financial LLC independent RIA | Other | Jan 30, 2024 | Jun 24, 2024 (146 d) |
| Jonathan Gregory Wilson | Northwestern Mutual Investment Services,LLC no RAUM | Milestone Investment Advisors, LLC independent RIA | Other | Jan 26, 2024 | Feb 7, 2024 |
| Benjamin G Davidson | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 26, 2024 | Feb 28, 2024 (33 d) |
| Seth Rivers | Northwestern Mutual Investment Services,LLC no RAUM | Kestra Advisory Services, LLC BD affiliated | Other | Jan 18, 2024 | Mar 11, 2025 (418 d) |
| Geoffrey Edward Tuthill | Northwestern Mutual Investment Services,LLC no RAUM | Independence Financial Advisors, LLC independent RIA | Other | Jan 16, 2024 | Jan 30, 2024 |
| Kelly Dawn Lambert | Northwestern Mutual Investment Services,LLC no RAUM | Copper Financial independent RIA | Other | Jan 11, 2024 | Apr 16, 2025 (461 d) |
| Walter John Roth | Northwestern Mutual Investment Services,LLC no RAUM | Raymond James Financial Services Advisors, Inc BD affiliated | Other | Jan 10, 2024 | Aug 21, 2026 (954 d) |
| Zachary Louis Damstetter | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Jan 9, 2024 | Jan 2, 2024 |
| Justin Racculia | Northwestern Mutual Investment Services,LLC no RAUM | Cambridge Investment Research Advisors, Inc. BD affiliated | Other | Jan 9, 2024 | Jan 2, 2024 |
| Anne Elizabeth Schutt | Northwestern Mutual Investment Services,LLC no RAUM | Midwestern Securities Trading Co.,LLC independent RIA | Other | Jan 5, 2024 | Jan 25, 2024 |
| John Zamboanga | Northwestern Mutual Investment Services,LLC no RAUM | Ascentis Independent Advisors, LLC independent RIA | Other | Jan 2, 2024 | Feb 29, 2024 (58 d) |
| Eric Alvarado | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 2, 2024 | Feb 29, 2024 (58 d) |
| Heather Bull | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Dec 31, 2023 | Jan 5, 2024 |
| Joshua Salway | Northwestern Mutual Investment Services,LLC no RAUM | Full Of Grace Financial state registered | Other | Dec 16, 2023 | Jan 22, 2024 (37 d) |
| Lemond Arthur Ponton | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Dec 13, 2023 | Jan 2, 2024 |
| Brendon Walsh | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Dec 6, 2023 | Feb 13, 2024 (69 d) |
| Hendry Nurjadi | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Dec 5, 2023 | Nov 16, 2023 |
| Robert Charles Ciriacks | Northwestern Mutual Investment Services,LLC no RAUM | Charles Schwab & Co., Inc. national BD | Other | Dec 4, 2023 | Dec 12, 2023 |
| Edward Gill III | Northwestern Mutual Investment Services,LLC no RAUM | Invst, LLC independent RIA | Other | Nov 16, 2023 | Feb 2, 2024 (78 d) |
| Sarah Elizabeth Pierce | Northwestern Mutual Investment Services,LLC no RAUM | Watershed Private Wealth independent RIA | Other | Nov 14, 2023 | Nov 3, 2023 |
| Leif Jacob Briel | Northwestern Mutual Investment Services,LLC no RAUM | Great Valley Advisor Group, LLC independent RIA | Other | Nov 13, 2023 | Nov 13, 2023 |
| Rodney Decker | Northwestern Mutual Investment Services,LLC no RAUM | Cambridge Investment Research Advisors, Inc. BD affiliated | Other | Nov 10, 2023 | Apr 8, 2024 (150 d) |
| Zachary B Curtis | Northwestern Mutual Investment Services,LLC no RAUM | Pgim Investments LLC asset manager | Other | Nov 10, 2023 | Jan 29, 2024 (80 d) |
| Jacquelyn Coleman | Northwestern Mutual Investment Services,LLC no RAUM | Schwab Wealth Advisory, Inc. no RAUM | Other | Nov 9, 2023 | Feb 26, 2026 (840 d) |
| Sara Emily Wright | Northwestern Mutual Investment Services,LLC no RAUM | Domain Money Advisors, LLC no RAUM | Other | Nov 9, 2023 | Jan 16, 2026 (799 d) |
| Terry Wayne Spencer | Northwestern Mutual Investment Services,LLC no RAUM | Usi Advisors institutional | Other | Nov 7, 2023 | Sep 16, 2025 (679 d) |
| Frank Joseph Uxa | Northwestern Mutual Investment Services,LLC no RAUM | Thrivent Investment Management Inc. BD affiliated | Other | Nov 7, 2023 | Apr 5, 2024 (150 d) |
| Craig Michael Golden | Northwestern Mutual Investment Services,LLC no RAUM | Nepsis, Inc. independent RIA | Other | Nov 1, 2023 | Apr 5, 2024 (156 d) |
| Joseph M Brooks | Northwestern Mutual Investment Services,LLC no RAUM | Sapere Wealth Management, LLC independent RIA | Other | Oct 31, 2023 | May 1, 2024 (183 d) |
| Daniel Tobik | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Oct 31, 2023 | Jan 4, 2024 (65 d) |
| Samantha Pezzute | Northwestern Mutual Investment Services,LLC no RAUM | Salzinger Sheaff Brock, LLC independent RIA | Other | Oct 26, 2023 | Nov 16, 2023 |
| Rafael Avramov | Northwestern Mutual Investment Services,LLC no RAUM | Pruco Securities, LLC BD affiliated | Other | Oct 26, 2023 | Oct 5, 2023 |
| Lee W Northern | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 25, 2023 | Apr 10, 2024 (168 d) |
| Jonathan Klein | Northwestern Mutual Investment Services,LLC no RAUM | Pruco Securities, LLC BD affiliated | Other | Oct 24, 2023 | Oct 24, 2023 |
| Lane Stephens | Northwestern Mutual Investment Services,LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Oct 24, 2023 | Oct 11, 2023 |
| Gregg M Sainsbury | Northwestern Mutual Investment Services,LLC no RAUM | Boyum Wealth Architects LLC independent RIA | Other | Oct 20, 2023 | Jun 12, 2025 (601 d) |
| Gary R Davis | Northwestern Mutual Investment Services,LLC no RAUM | Financial & Tax Architects, LLC independent RIA | Other | Oct 20, 2023 | Feb 27, 2024 (130 d) |
| W Ben Fox | Northwestern Mutual Investment Services,LLC no RAUM | Eversource Wealth Advisors, LLC independent RIA | Other | Oct 20, 2023 | Oct 16, 2023 |
| Michael A Guthrie | Northwestern Mutual Investment Services,LLC no RAUM | Shp Wealth Management, LLC independent RIA | Other | Oct 17, 2023 | Oct 26, 2023 |
| Corey Thomas Creel | Northwestern Mutual Investment Services,LLC no RAUM | Farther independent RIA | Other | Oct 17, 2023 | Feb 25, 2026 (862 d) |
| John Alexander Gardner | Northwestern Mutual Investment Services,LLC no RAUM | Ep Wealth Advisors independent RIA | Other | Oct 12, 2023 | Dec 5, 2023 (54 d) |
| Christopher Hathaway | Northwestern Mutual Investment Services,LLC no RAUM | LPL Financial LLC BD affiliated | Other | Oct 6, 2023 | Sep 27, 2023 |
| Brian J Samec | Northwestern Mutual Investment Services,LLC no RAUM | Great Valley Advisor Group, LLC independent RIA | Other | Sep 29, 2023 | Sep 22, 2023 |
| Tyler Lee Leiphart | Northwestern Mutual Investment Services,LLC no RAUM | Rkl Private Wealth independent RIA | Other | Sep 27, 2023 | Nov 6, 2023 (40 d) |
| Forrest Patterson | Northwestern Mutual Investment Services,LLC no RAUM | Gradient Wealth Management BD affiliated | Other | Sep 27, 2023 | Jan 2, 2024 (97 d) |
| Michael Bradley Englund | Northwestern Mutual Investment Services,LLC no RAUM | Great Valley Advisor Group, LLC independent RIA | Other | Sep 25, 2023 | Sep 15, 2023 |
| John Fremont-Smith | Northwestern Mutual Investment Services,LLC no RAUM | Pruco Securities, LLC BD affiliated | Other | Sep 21, 2023 | Oct 5, 2023 |
| Thomas Gerstenschlager | Northwestern Mutual Investment Services,LLC no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Other | Sep 20, 2023 | Oct 11, 2023 |
| Huan Wang | Northwestern Mutual Investment Services,LLC no RAUM | Avantax Advisory Services BD affiliated | Other | Sep 19, 2023 | Jan 8, 2024 (111 d) |
| Timothy B Parsons | Northwestern Mutual Investment Services,LLC no RAUM | Morgan Stanley wirehouse | Other | Sep 18, 2023 | Oct 26, 2023 (38 d) |
| Lindsay Griesemer | Northwestern Mutual Investment Services,LLC no RAUM | Osaic Advisory Services, LLC BD affiliated | Other | Sep 14, 2023 | Sep 11, 2023 |
| Mija Bartholome | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Sep 14, 2023 | Sep 20, 2023 |
| Paul Rine Pigman | Northwestern Mutual Investment Services,LLC no RAUM | First Manhattan Co. LLC BD affiliated | Other | Sep 12, 2023 | Sep 4, 2024 (358 d) |
| Kathryn Martin | Northwestern Mutual Investment Services,LLC no RAUM | Cambridge Investment Research Advisors, Inc. BD affiliated | Other | Sep 12, 2023 | Aug 30, 2023 |
| Erik J Pedersen | Northwestern Mutual Investment Services,LLC no RAUM | Commonwealth Financial Network national BD | Other | Sep 11, 2023 | Jan 23, 2024 (134 d) |