| Robert Benton Aday | Edward Jones national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 6, 2019 | Oct 23, 2019 (47 d) |
| Barbara A Bertrand | Osaic Wealth, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 5, 2019 | Sep 27, 2019 |
| Alexander Lawrence Crisafi | Financial Life Focus, LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 5, 2019 | Jan 8, 2025 (1952 d) |
| Keilah Sutton | Mcadam LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 5, 2019 | Nov 5, 2019 (61 d) |
| Brian Reith Patterson | LPL Financial LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 16, 2019 | Feb 3, 2025 (1998 d) |
| Briana Laura Tremble | Esi Financial Advisors BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 13, 2019 | Aug 30, 2019 |
| James Newsome | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 13, 2019 | Sep 23, 2019 (41 d) |
| Zachary Ross | Edward Jones national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 7, 2019 | Oct 7, 2019 (61 d) |
| Amanpreet Singh Kohli | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 6, 2019 | Aug 5, 2021 (730 d) |
| Timothy D Salm | Thrivent Investment Management Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 2, 2019 | Aug 22, 2019 |
| Rebecca Jean Anne Jordan | Securities America Advisors, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 18, 2019 | Nov 13, 2019 (118 d) |
| Caleb Williams | Fidelity Personal And Workplace Advisors BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 16, 2019 | Sep 24, 2019 (70 d) |
| Adam T Younk | LPL Financial LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 15, 2019 | Jul 6, 2026 (2548 d) |
| Kyle F Luetters | Stifel, Nicolaus & Company, Incorporated national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 12, 2019 | Jul 30, 2019 |
| Nicholas Estey | Mariner BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 11, 2019 | Oct 15, 2019 (96 d) |
| Nicholas John Famularo | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 10, 2019 | Aug 1, 2019 |
| Becky J Devries | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 28, 2019 | Aug 7, 2019 (40 d) |
| Patrick Sundin | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 27, 2019 | Aug 16, 2019 (50 d) |
| Scott Soenen | Empower Advisory Group, LLC institutional | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 24, 2019 | Aug 12, 2019 (49 d) |
| Tyson Carl Frerking | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 24, 2019 | Feb 10, 2020 (231 d) |
| Scott Siripalaka | Foresters Advisory Services, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 20, 2019 | Jun 25, 2019 |
| Kyle James Rizzo | Foresters Advisory Services, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 20, 2019 | Feb 3, 2026 (2420 d) |
| Matthew David O'Brien | Park Avenue Securities LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 19, 2019 | Feb 19, 2021 (611 d) |
| Bevan P Gourley | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 18, 2019 | Mar 5, 2020 (261 d) |
| Aldo Raymond Severson | UBS Financial Services Inc. wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 18, 2019 | Jun 24, 2019 |
| Janee Browne | Bny Mellon Securities Corporation BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 17, 2019 | Apr 9, 2020 (297 d) |
| Robert Michael Higueria | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 5, 2019 | Sep 11, 2020 (464 d) |
| Derek C Smith | Edward Jones national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 4, 2019 | Dec 10, 2019 (189 d) |
| Lindsey Kane Leaverton | Bb&T Securities, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 31, 2019 | Jun 19, 2019 |
| Nicholas M Pagliai | Fifth Third Securities, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 31, 2019 | Jun 27, 2019 |
| Andrew Pascal Ameny | Valic Financial Advisors, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 28, 2019 | Jan 3, 2025 (2047 d) |
| Yisha Wang | Ami Asset Management Corp independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 23, 2019 | Jul 2, 2019 (40 d) |
| Lawrence Johnson | Schwab Wealth Advisory, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 21, 2019 | Aug 7, 2024 (1905 d) |
| Teresa Lynn De La Torre | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 7, 2019 | May 24, 2019 |
| Jacob F Lippert | Cwm, LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 3, 2019 | Jul 8, 2019 (66 d) |
| Nicholas Nathaniel Kruell | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 30, 2019 | May 14, 2019 |
| Jenny Lee Selvaggio | William Blair & Company L.L.C. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 26, 2019 | Jun 3, 2019 (38 d) |
| Bryan Melvin Lage | Thrivent Investment Management Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 22, 2019 | Oct 17, 2019 (178 d) |
| Wesley Hardy | Cadaret Grant & Co Inc BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 22, 2019 | Aug 21, 2019 (121 d) |
| Daniel Shahmoradian | MML Investors Services, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 10, 2019 | Jan 1, 2026 (2458 d) |
| Ryan Logan Wilson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 9, 2019 | Nov 5, 2019 (210 d) |
| Eric Olson | Amundi Pioneer Institutional Asset Management, Inc. other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 9, 2019 | Apr 29, 2019 |
| Matthews Steven Barnett | Valic Financial Advisors, Inc. BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 4, 2019 | Apr 29, 2019 |
| Tyrone Thorpe | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 4, 2019 | Apr 25, 2019 |
| Vanessa Elise Altom | Dorsey & Company Inc. mixed wealth | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 1, 2019 | Apr 17, 2019 |
| Christopher Jordan Taylor | Edward Jones national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 26, 2019 | Apr 3, 2020 (374 d) |
| Daniel Plantamura | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 19, 2019 | May 15, 2019 (57 d) |
| Margaret E Triesch | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 18, 2019 | Jun 26, 2019 (100 d) |
| Pedro Andres Lugo | Charles Schwab & Co., Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 13, 2019 | May 1, 2019 (49 d) |
| Maribeth A Brown | LPL Financial LLC independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 7, 2019 | Mar 25, 2019 |
| Michael Mildrum | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 6, 2019 | Mar 28, 2019 |
| Jeffrey Hennings | RBC Securities, Inc. independent RIA | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 1, 2019 | Apr 10, 2019 (40 d) |
| Daniel R Figueiredo | Equitable Advisors, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Feb 22, 2019 | Mar 6, 2019 |
| Myles Pennington Allingham | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Feb 22, 2019 | Jun 19, 2019 (117 d) |
| Bret Michael Ptack | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Feb 19, 2019 | Aug 14, 2019 (176 d) |
| Michael Thomas Gentile | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Feb 15, 2019 | Jul 15, 2019 (150 d) |
| Lance W Adicks | Edward Jones national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Feb 14, 2019 | Mar 14, 2019 |
| Jose Eduardo Vivero | MML Investors Services, LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Feb 7, 2019 | Feb 11, 2019 |
| Victoria K Amyot | M&T Securities, Inc. unclassified | Northwestern Mutual Investment Services,LLC no RAUM | Other | Feb 6, 2019 | Apr 22, 2019 (75 d) |
| William Bertalin Walsh | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Feb 4, 2019 | Nov 6, 2019 (275 d) |