| Kristy Lyn Hopkins | Edelman Financial Services, LLC other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jan 3, 2014 | Dec 18, 2019 (2175 d) |
| Elisheva Sharon Defeo | Strategic Advisers LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Jan 3, 2014 | Mar 5, 2014 (61 d) |
| Robert Prusiewicz | Financial Telesis, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Dec 31, 2013 | Mar 14, 2014 (73 d) |
| Brian Charles Johnston | Equitable Advisors, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Dec 23, 2013 | Mar 2, 2015 (434 d) |
| Jessica Rose Archey | J.P. Morgan Securities LLC wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Dec 11, 2013 | Jan 30, 2014 (50 d) |
| Christopher Louis Hutson | Edward Jones national BD | Northwestern Mutual Investment Services,LLC other | Other | Dec 3, 2013 | Jan 7, 2014 (35 d) |
| Brenda A Kelly | Edward Jones national BD | Northwestern Mutual Investment Services,LLC other | Other | Nov 15, 2013 | Aug 12, 2014 (270 d) |
| Angela Anne Kjorlien | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 14, 2013 | Nov 7, 2023 (3645 d) |
| Ryan Michael Evans | New England Securities Corporation other | Northwestern Mutual Investment Services,LLC other | Other | Oct 29, 2013 | Jan 29, 2014 (92 d) |
| David B Andres | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 30, 2013 | Jan 22, 2025 (4132 d) |
| Julie A Prinkey | Onpointe Advisory And Financial Services, LLC other | Northwestern Mutual Investment Services,LLC other | Other | Sep 25, 2013 | Oct 31, 2013 (36 d) |
| Ryan Dean Pytleski | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Sep 20, 2013 | Oct 15, 2013 |
| Paul Douglas King | LPL Financial LLC other | Northwestern Mutual Investment Services,LLC other | Other | Sep 17, 2013 | Oct 16, 2013 |
| Michael Von Drasek | Woodbury Financial Services, Inc. other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Sep 16, 2013 | Dec 1, 2016 (1172 d) |
| Jordan Meurrier Pedron | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Sep 10, 2013 | Oct 17, 2013 (37 d) |
| Joel David Fults | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Sep 6, 2013 | Oct 9, 2013 (33 d) |
| Jesse David Wagner | Sii Investments, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Sep 6, 2013 | Oct 7, 2013 (31 d) |
| Jesse David Wagner | Investment Centers Of America, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Sep 6, 2013 | Oct 7, 2013 (31 d) |
| Ricky Lawson Carroll | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Northwestern Mutual Investment Services,LLC other | Other | Sep 5, 2013 | Sep 19, 2013 |
| Chad D Whipple | MML Investors Services, LLC other | Northwestern Mutual Investment Services,LLC other | Other | Aug 29, 2013 | Oct 24, 2013 (56 d) |
| Debbie Lynn Tanner | UBS Financial Services Inc. wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Aug 23, 2013 | Mar 6, 2014 (195 d) |
| Paul Douglas King | Park Capital Group, Inc. state registered | Northwestern Mutual Investment Services,LLC other | Other | Aug 23, 2013 | Oct 16, 2013 (54 d) |
| Kevin Russell Pasarilla | Raymond James Financial Services Advisors, Inc other | Northwestern Mutual Investment Services,LLC other | Other | Aug 19, 2013 | Aug 21, 2014 (367 d) |
| Christopher Richard Day | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Aug 16, 2013 | Sep 4, 2013 |
| Shane Jaren Waller | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Aug 15, 2013 | Sep 18, 2013 (34 d) |
| Christopher George Werner | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Aug 14, 2013 | Dec 23, 2013 (131 d) |
| Jeffrey Forgerson | Crowell, Weedon & Co. other | Northwestern Mutual Investment Services,LLC other | Other | Aug 5, 2013 | Aug 16, 2013 |
| William T French | Edward Jones national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 30, 2013 | Jan 14, 2019 (1994 d) |
| David Barton Zlotucha | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jul 29, 2013 | Aug 20, 2013 |
| Margaret Anne Haslach | Kms Financial Services, Inc other | Northwestern Mutual Investment Services,LLC other | Other | Jul 24, 2013 | Dec 10, 2013 (139 d) |
| Scott Robert Cohen | J.P. Morgan Securities LLC wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jul 23, 2013 | Sep 11, 2013 (50 d) |
| Craig J Valentine | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jun 24, 2013 | Oct 8, 2013 (106 d) |
| Max Kohn Brown | Hantz Financial Services, Inc. no RAUM | Northwestern Mutual Investment Services,LLC other | Other | Jun 18, 2013 | Jan 27, 2014 (223 d) |
| Alejandro Antonio Bueno | Raymond James & Associates, Inc. national BD | Northwestern Mutual Investment Services,LLC other | Other | Jun 17, 2013 | Feb 3, 2015 (596 d) |
| Steven Scott Wilson | 1st Global Advisors Inc other | Northwestern Mutual Investment Services,LLC other | Other | Jun 5, 2013 | Jun 21, 2013 |
| Brady Alan Jacobsen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jun 4, 2013 | Sep 19, 2013 (107 d) |
| Ryan Arnez Monroe | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | May 23, 2013 | Sep 22, 2014 (487 d) |
| Michael Alan Hargrove | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | May 17, 2013 | Jun 17, 2013 (31 d) |
| Kyle Christopher Laube | U.S. Bancorp Investments, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | May 16, 2013 | Jun 10, 2013 |
| William Perry Marshall | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | May 14, 2013 | Sep 24, 2013 (133 d) |
| Chad Steven Jukkala-Lewis | Edward Jones national BD | Northwestern Mutual Investment Services,LLC other | Other | Apr 30, 2013 | May 30, 2013 |
| Gregory Carl Molchen | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Mar 22, 2013 | May 31, 2013 (70 d) |
| John Christopher Paciga | Commonwealth Financial Network national BD | Northwestern Mutual Investment Services,LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 21, 2013 | Jan 1, 2026 (4669 d) |
| Thomas M Shoen | Wall Street Financial Group, Inc other | Northwestern Mutual Investment Services,LLC other | Other | Mar 21, 2013 | Jun 2, 2014 (438 d) |
| Julie L Brandt | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Mar 19, 2013 | Jul 30, 2013 (133 d) |
| Eric Daniel Finucane | LPL Financial LLC other | Northwestern Mutual Investment Services,LLC other | Other | Feb 19, 2013 | Mar 12, 2013 |
| Vincent Strangio | Federated Investment Counseling other | Northwestern Mutual Investment Services,LLC other | Other | Feb 7, 2013 | Mar 4, 2013 |
| Vincent Strangio | Mdt Advisers, A Division Of Federated Mdta LLC other | Northwestern Mutual Investment Services,LLC other | Other | Feb 7, 2013 | Mar 4, 2013 |
| Vincent Strangio | Federated Securities Corp. no RAUM | Northwestern Mutual Investment Services,LLC other | Other | Feb 7, 2013 | Mar 4, 2013 |
| Daniel Aaron Newman | Key Investment Services LLC other | Northwestern Mutual Investment Services,LLC other | Other | Jan 31, 2013 | Feb 20, 2013 |
| Adam Jason Izaac | Merkaba Investment Advisors LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Jan 17, 2013 | Aug 8, 2013 (203 d) |
| Patrick Kevin Dailey | Cetera Advisor Networks LLC other | Northwestern Mutual Investment Services,LLC other | Other | Jan 8, 2013 | May 13, 2013 (125 d) |
| Eduardo Hernandez Vela | Ameritas Advisory Services other | Northwestern Mutual Investment Services,LLC other | Other | Dec 18, 2012 | Sep 10, 2014 (631 d) |
| William Langston Laury | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Dec 10, 2012 | Apr 22, 2016 (1229 d) |
| Nathaniel Stevens Ewoldt | First Command Financial Planning, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Nov 29, 2012 | Jun 18, 2013 (201 d) |
| Nicholas Alexander Anderson | LPL Financial LLC other | Northwestern Mutual Investment Services,LLC other | Other | Nov 27, 2012 | Jan 2, 2013 (36 d) |
| Brandon Michael Flowers | Edward Jones national BD | Northwestern Mutual Investment Services,LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 20, 2012 | Jan 1, 2026 (4790 d) |
| David V Cassel | UBS Financial Services Inc. wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Nov 16, 2012 | Nov 6, 2013 (355 d) |
| Patrick Joseph Moore | Contego Capital Group, Inc. independent RIA | Northwestern Mutual Investment Services,LLC other | Other | Nov 9, 2012 | Nov 20, 2013 (376 d) |
| April Lynn Breheim | Equitable Advisors, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Oct 18, 2012 | Nov 6, 2012 |