| Christina Marie Harmon | Robert W. Baird & Co. Incorporated mixed wealth | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 30, 2020 | Nov 5, 2020 |
| Daniel Tobik | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 30, 2020 | Mar 3, 2021 (124 d) |
| Nicholas M Pagliai | Kms Financial Services, Inc BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 21, 2020 | Nov 9, 2020 |
| Malcolm Joseph Eustis | Tsa Management Inc independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 15, 2020 | Jul 5, 2021 (263 d) |
| Frederick Joseph Pilipuf | Raymond James & Associates, Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 8, 2020 | Dec 22, 2020 (75 d) |
| Kyle Joseph Wills | Cri Securities, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 8, 2020 | Nov 2, 2020 |
| Katherine Mackrell Oven | Commonwealth Financial Network national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 7, 2020 | Apr 27, 2021 (202 d) |
| Jeanna Clark | Robert W. Baird & Co. Incorporated mixed wealth | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 7, 2020 | Nov 9, 2020 (33 d) |
| Joseph Kurt Buckles | Edward Jones national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 1, 2020 | Jun 28, 2021 (270 d) |
| Rachel Lee Torres | Key Investment Services LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 25, 2020 | Oct 26, 2020 (31 d) |
| Alyson Lancaster Frantz | First Allied Advisory Services, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 23, 2020 | Nov 4, 2020 (42 d) |
| Autumn Weems | J.P. Morgan Securities LLC wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 22, 2020 | May 5, 2022 (590 d) |
| Chad Drake | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 18, 2020 | Dec 21, 2020 (94 d) |
| Andrew Barkes | Equitable Advisors, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 18, 2020 | Jan 1, 2026 (1931 d) |
| Jason Jones | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 17, 2020 | Oct 21, 2020 (34 d) |
| Reynaldo Ortiz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 17, 2020 | Apr 13, 2021 (208 d) |
| Ziying Zhou | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 16, 2020 | Jan 6, 2022 (477 d) |
| Pratik P Kandoi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 11, 2020 | Jan 1, 2025 (1573 d) |
| Colin Mckenna | Equitable Advisors, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 8, 2020 | Sep 22, 2020 |
| Daniel A Pion | Citizens Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 8, 2020 | Nov 9, 2020 (62 d) |
| Ashley V Leopold | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 8, 2020 | Sep 22, 2020 |
| Thomas C Mueger | American Portfolios Advisors, Inc independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 19, 2020 | Sep 23, 2020 (35 d) |
| Dianne Funigiello | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 18, 2020 | Sep 25, 2020 (38 d) |
| Matthew Ray Haile | First Allied Advisory Services, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 14, 2020 | Nov 14, 2020 (92 d) |
| Jordan Duggan | Raymond James & Associates, Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 10, 2020 | Jan 22, 2021 (165 d) |
| Matthew Costa | Charles Schwab & Co., Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 5, 2020 | Nov 3, 2021 (455 d) |
| Gregory Lee Petrie | Star Capital Inc. independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 31, 2020 | Sep 16, 2020 (47 d) |
| Frank August Fairbanks | Usaa Investment Services Company no RAUM | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 30, 2020 | Nov 10, 2021 (468 d) |
| Matthew Edward Assunto | Usca Ria LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 24, 2020 | Aug 20, 2020 |
| Logan Smith | M Holdings Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 23, 2020 | Apr 29, 2021 (280 d) |
| Alexander John Vicarisi | Edward Jones national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 21, 2020 | Aug 6, 2020 |
| Abigail Powell Wrinkle | Stegner Investment Associates Inc mixed wealth | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 21, 2020 | Oct 12, 2020 (83 d) |
| Zachary Wyatt Brody | Pruco Securities, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 16, 2020 | Jul 31, 2020 |
| Angela Maria Dicastri | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 7, 2020 | Aug 12, 2020 (36 d) |
| Allison Marie Gruesbeck | Strategic Wealth Investment Group, LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 23, 2020 | Jul 16, 2020 |
| Ryan M Azinger | Citizens Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 16, 2020 | Jun 30, 2020 |
| Adam Lamar | Equitable Advisors, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 16, 2020 | Jul 27, 2020 (41 d) |
| James Carl Czirr | Vickerman & Driscoll Financial Advisors,Inc. independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 16, 2020 | Jan 7, 2021 (205 d) |
| Jason Victor Sponholtz | U.S. Bancorp Investments, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 15, 2020 | Jul 7, 2020 |
| Scott Petersen | Raymond James & Associates, Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 15, 2020 | Sep 17, 2020 (94 d) |
| Ryan Speak | Equitable Advisors, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 15, 2020 | Jun 23, 2020 |
| Nicholas Patrick Ewen | MML Investors Services, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 5, 2020 | Jun 17, 2020 |
| Erica Nicole Grundza | Goldman Sachs Wealth Services, L.P. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 5, 2020 | Jul 22, 2020 (47 d) |
| Gabriela A Urquizo | Ellenbecker Investment Group independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 2, 2020 | Jul 15, 2020 (43 d) |
| Matthew Mertens | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 2, 2020 | May 25, 2021 (357 d) |
| Jamie Irving Mattioli | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 29, 2020 | May 27, 2020 |
| Eric D Tollefson | Russell Investments other | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 21, 2020 | Aug 5, 2025 (1902 d) |
| Cyla Fromm-Minett | D.A. Davidson & Co. independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 6, 2020 | Jan 11, 2021 (250 d) |
| Dale Duane Bartlett | Oneamerica Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 6, 2020 | Jun 1, 2020 |
| William J Carver | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 6, 2020 | Oct 19, 2020 (166 d) |
| Arianna Bustillos Jiruska | Bmo Harris Financial Advisors, Inc BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 5, 2020 | Jun 1, 2020 |
| Matthew Poznicek | Cetera Investment Advisers LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 20, 2020 | Sep 24, 2020 (157 d) |
| Maribeth Gunger | Edward Jones national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 16, 2020 | Jun 14, 2021 (424 d) |
| Todd Arnold Kemper | U.S. Bancorp Investments, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 15, 2020 | Apr 23, 2020 |
| Scott B Ehrlich | Fisher Investments independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 13, 2020 | May 28, 2020 (45 d) |
| Sarah Elizabeth Pierce | Creative Planning independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 6, 2020 | Apr 8, 2020 |
| Yvette Brown | Ernst & Young Investment Advisers Llp no RAUM | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 2, 2020 | Mar 4, 2022 (701 d) |
| Jonathan R Chance | Charles Schwab & Co., Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 27, 2020 | Nov 10, 2021 (593 d) |
| David Rey Ybarra | Fidelity Personal And Workplace Advisors BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 27, 2020 | Jul 31, 2020 (126 d) |
| Aaron Nickolette | Equitable Advisors, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 25, 2020 | Apr 20, 2020 |