| Scott Daniel Bantz | Northwestern Mutual Investment Services,LLC no RAUM | Great Valley Advisor Group, LLC independent RIA | Other | Jan 23, 2023 | Jan 19, 2023 |
| Thomas Damon | Northwestern Mutual Investment Services,LLC no RAUM | Elevate Capital Advisors independent RIA | Other | Jan 23, 2023 | Apr 6, 2023 (73 d) |
| Gillian Stoddard | Northwestern Mutual Investment Services,LLC no RAUM | B. Riley Wealth Advisors, Inc. BD affiliated | Other | Jan 19, 2023 | Jan 11, 2023 |
| Frank August Fairbanks | Northwestern Mutual Investment Services,LLC no RAUM | Cambridge Investment Research Advisors, Inc. BD affiliated | Other | Jan 12, 2023 | Aug 30, 2023 (230 d) |
| Jason Navarre | Northwestern Mutual Investment Services,LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Jan 11, 2023 | Jan 23, 2023 |
| Samuel E Thorp-Nichols | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Jan 11, 2023 | Jan 5, 2023 |
| Timothy Taylor Rickey | Northwestern Mutual Investment Services,LLC no RAUM | Axxcess Wealth Management, LLC independent RIA | Other | Jan 9, 2023 | Sep 22, 2025 (987 d) |
| Alan James Kines | Northwestern Mutual Investment Services,LLC no RAUM | Raymond James Financial Services Advisors, Inc BD affiliated | Other | Jan 6, 2023 | Jun 4, 2026 (1245 d) |
| Cameron Voegele | Northwestern Mutual Investment Services,LLC no RAUM | Wells Fargo Advisors wirehouse | Other | Jan 6, 2023 | Oct 11, 2023 (278 d) |
| Scott Lee Wisnewski | Northwestern Mutual Investment Services,LLC no RAUM | Johnson Wealth Inc. mixed wealth | Other | Dec 31, 2022 | Jan 3, 2023 |
| John G Watson | Northwestern Mutual Investment Services,LLC no RAUM | Commonwealth Financial Network national BD | Other | Dec 31, 2022 | Jun 14, 2023 (165 d) |
| Jose Ramon Alvarez | Northwestern Mutual Investment Services,LLC no RAUM | Mutual Of Omaha Investor Services, Inc. independent RIA | Other | Dec 31, 2022 | May 23, 2023 (143 d) |
| Gino Russo | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Dec 22, 2022 | Aug 10, 2023 (231 d) |
| Tracey Elizabeth Richardson | Northwestern Mutual Investment Services,LLC no RAUM | Bdo Wealth Advisors, LLC independent RIA | Other | Dec 21, 2022 | May 22, 2023 (152 d) |
| Angelica Vernay Proctor | Northwestern Mutual Investment Services,LLC no RAUM | Creative Planning Institutional Advisors, LLC institutional | Other | Dec 21, 2022 | Jan 2, 2023 |
| Khrista Mcwhorter | Northwestern Mutual Investment Services,LLC no RAUM | Scf Investment Advisors, Inc. BD affiliated | Other | Dec 21, 2022 | Aug 6, 2024 (594 d) |
| Adam Jeffrey Trent | Northwestern Mutual Investment Services,LLC no RAUM | Cetera Investment Advisers LLC BD affiliated | Other | Dec 13, 2022 | Mar 21, 2024 (464 d) |
| Kevin Daniel George | Northwestern Mutual Investment Services,LLC no RAUM | Pruco Securities, LLC BD affiliated | Other | Dec 1, 2022 | Dec 10, 2022 |
| Alexander John Vicarisi | Northwestern Mutual Investment Services,LLC no RAUM | Wells Fargo Advisors wirehouse | Other | Nov 21, 2022 | Dec 21, 2022 |
| Bryan Corbitt | Northwestern Mutual Investment Services,LLC no RAUM | Mercer Global Advisors Inc. independent RIA | Other | Nov 17, 2022 | Jul 17, 2023 (242 d) |
| Jon Ferraiolo | Northwestern Mutual Investment Services,LLC no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Other | Nov 17, 2022 | Jul 5, 2023 (230 d) |
| Carla K Stohlmann | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Nov 14, 2022 | Nov 15, 2022 |
| Bradley P Starken | Northwestern Mutual Investment Services,LLC no RAUM | Smart Wealth, LLC independent RIA | Other | Nov 9, 2022 | Dec 13, 2022 (34 d) |
| Brandon Leigh Burleigh | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 8, 2022 | Jan 10, 2023 (63 d) |
| Stephen Trent Gilbert | Northwestern Mutual Investment Services,LLC no RAUM | Truist Advisory Services, Inc. BD affiliated | Other | Nov 4, 2022 | Nov 21, 2022 |
| Christopher Ryan Tooker | Northwestern Mutual Investment Services,LLC no RAUM | Cwm, LLC BD affiliated | Other | Nov 3, 2022 | Jan 23, 2023 (81 d) |
| James Harrison Randall | Northwestern Mutual Investment Services,LLC no RAUM | Capital Advisors, Inc. independent RIA | Other | Nov 3, 2022 | Oct 31, 2022 |
| Aldo Raymond Severson | Northwestern Mutual Investment Services,LLC no RAUM | J.P. Morgan Private Wealth Advisors LLC BD affiliated | Other | Oct 31, 2022 | Dec 14, 2022 (44 d) |
| John D. Kerris | Northwestern Mutual Investment Services,LLC no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Other | Oct 26, 2022 | Dec 16, 2022 (51 d) |
| Hugh Douglas Severs | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 25, 2022 | Oct 26, 2022 |
| Jake Taylor Springer | Northwestern Mutual Investment Services,LLC no RAUM | My Legacy Advisors, LLC independent RIA | Other | Oct 18, 2022 | Apr 3, 2024 (533 d) |
| Daniel Aaron Newman | Northwestern Mutual Investment Services,LLC no RAUM | Noble Wealth Management P.B.C. no RAUM | Other | Oct 17, 2022 | Oct 3, 2022 |
| Adam Fallert | Northwestern Mutual Investment Services,LLC no RAUM | Thrivent Advisor Network, LLC BD affiliated | Other | Oct 17, 2022 | Jan 9, 2023 (84 d) |
| Victoria K Amyot | Northwestern Mutual Investment Services,LLC no RAUM | First Manhattan Co. LLC BD affiliated | Other | Oct 17, 2022 | Feb 16, 2023 (122 d) |
| Jeffrey Yau | Northwestern Mutual Investment Services,LLC no RAUM | Morgan Stanley wirehouse | Other | Oct 17, 2022 | Oct 26, 2022 |
| Andrew David Basu | Northwestern Mutual Investment Services,LLC no RAUM | J.P. Morgan Securities LLC wirehouse | Other | Oct 17, 2022 | Nov 7, 2022 |
| Alan Chen-Ok | Northwestern Mutual Investment Services,LLC no RAUM | Fidelity Personal And Workplace Advisors BD affiliated | Other | Oct 17, 2022 | Nov 18, 2022 (32 d) |
| Tyrone Thorpe | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Oct 15, 2022 | Nov 11, 2022 |
| Robert Jeffrey Ross | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Oct 6, 2022 | Sep 20, 2022 |
| David Alfred Holloway | Northwestern Mutual Investment Services,LLC no RAUM | Pruco Securities, LLC BD affiliated | Other | Oct 5, 2022 | Oct 3, 2022 |
| Christopher Endre Rhyme | Northwestern Mutual Investment Services,LLC no RAUM | Noble Wealth Management P.B.C. no RAUM | Other | Oct 5, 2022 | Oct 4, 2022 |
| Nathaniel Demetrious Mcharg | Northwestern Mutual Investment Services,LLC no RAUM | Noble Wealth Management P.B.C. no RAUM | Other | Oct 5, 2022 | Oct 3, 2022 |
| Mark Phillip Anderson | Northwestern Mutual Investment Services,LLC no RAUM | Raymond James Financial Services Advisors, Inc BD affiliated | Other | Oct 3, 2022 | Sep 29, 2022 |
| Tiago Xingu Lima | Northwestern Mutual Investment Services,LLC no RAUM | Raymond James Financial Services Advisors, Inc BD affiliated | Other | Sep 29, 2022 | Sep 29, 2022 |
| Brett A Mock | Northwestern Mutual Investment Services,LLC no RAUM | Park Avenue Securities LLC BD affiliated | Other | Sep 29, 2022 | Oct 7, 2022 |
| Kyle F Luetters | Northwestern Mutual Investment Services,LLC no RAUM | Moneta Group Investment Advisors, LLC independent RIA | Other | Sep 27, 2022 | Oct 3, 2022 |
| Robert Jean Luna | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Sep 21, 2022 | Sep 19, 2022 |
| Jonathan R Chance | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Sep 21, 2022 | Nov 17, 2022 (57 d) |
| Steven Brant Rose | Northwestern Mutual Investment Services,LLC no RAUM | Transamerica Financial Advisors, LLC BD affiliated | Other | Sep 20, 2022 | Sep 17, 2024 (728 d) |
| William Mccanney | Northwestern Mutual Investment Services,LLC no RAUM | Hightower Advisors, LLC BD affiliated | Other | Sep 19, 2022 | Apr 24, 2026 (1313 d) |
| Erik Benjamin Hallenbeck | Northwestern Mutual Investment Services,LLC no RAUM | Ameriprise Financial Services, LLC national BD | Other | Sep 16, 2022 | Oct 3, 2022 |
| Archie Bartholomew Gaither | Northwestern Mutual Investment Services,LLC no RAUM | Schwab Wealth Advisory, Inc. no RAUM | Other | Sep 15, 2022 | Oct 25, 2022 (40 d) |
| Jeremy Michael Kittoe | Northwestern Mutual Investment Services,LLC no RAUM | Morgan Stanley wirehouse | Other | Sep 12, 2022 | Sep 22, 2022 |
| Andres Esteban Guzman | Northwestern Mutual Investment Services,LLC no RAUM | Baker Tilly Wealth Management, LLC mixed wealth | Other | Sep 7, 2022 | Feb 8, 2023 (154 d) |
| Michael Eisenstadt | Northwestern Mutual Investment Services,LLC no RAUM | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Sep 6, 2022 | Oct 5, 2022 |
| Kelly Ileen Jordan | Northwestern Mutual Investment Services,LLC no RAUM | Osaic Fa, Inc. BD affiliated | Other | Aug 31, 2022 | Dec 19, 2022 (110 d) |
| Scott Anthony Schneider | Northwestern Mutual Investment Services,LLC no RAUM | Beacon Pointe Advisors, LLC independent RIA | Other | Aug 30, 2022 | Sep 12, 2022 |
| Matthew Hemberger | Northwestern Mutual Investment Services,LLC no RAUM | MML Investors Services, LLC BD affiliated | Other | Aug 18, 2022 | Aug 23, 2022 |
| Stanley Quelle | Northwestern Mutual Investment Services,LLC no RAUM | Raymond James & Associates, Inc. national BD | Other | Aug 17, 2022 | Nov 11, 2022 (86 d) |
| Dale Duane Bartlett | Northwestern Mutual Investment Services,LLC no RAUM | Principal Securities, Inc. BD affiliated | Other | Aug 17, 2022 | Aug 29, 2022 |