| Ashley Marie Williams | Morgan Keegan & Company, LLC other | Northwestern Mutual Investment Services,LLC other | Other | Jun 29, 2011 | Jul 19, 2011 |
| Jana Odland Cole | Goldman Sachs & Co. LLC wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Jun 16, 2011 | Oct 10, 2016 (1943 d) |
| Jana Odland Cole | Goldman Sachs Asset Management, L.P. other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 16, 2011 | Oct 10, 2016 (1943 d) |
| Alan Abraham Zwicker | 1st Global Advisors Inc other | Northwestern Mutual Investment Services,LLC other | Other | Jun 6, 2011 | Dec 1, 2011 (178 d) |
| Brian Michael Ward | Msi Financial Services, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Jun 2, 2011 | Jun 20, 2011 |
| Beth Suzanne Feldman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | May 20, 2011 | Jun 13, 2011 |
| Alfonso Rocco Saverino | Wbi Investments, LLC other | Northwestern Mutual Investment Services,LLC other | Other | May 20, 2011 | Mar 28, 2012 (313 d) |
| Anastasia V Potapova | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | May 6, 2011 | Dec 9, 2011 (217 d) |
| Christopher Daniel Mason | William Blair & Company L.L.C. other | Northwestern Mutual Investment Services,LLC other | Other | May 6, 2011 | Jun 24, 2011 (49 d) |
| Megan Laura Wallace Heathcote | Valic Financial Advisors, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | May 3, 2011 | Jul 1, 2011 (59 d) |
| Daniel Wayne Kutzkey | Ameritas Advisory Services other | Northwestern Mutual Investment Services,LLC other | Other | Apr 28, 2011 | Jun 1, 2011 (34 d) |
| Matthew Schirmer | J.P. Morgan Securities LLC wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Apr 20, 2011 | Jan 17, 2012 (272 d) |
| Jill Lynn Grey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Apr 19, 2011 | May 24, 2011 (35 d) |
| Steven James Landrum | Comerica Securities other | Northwestern Mutual Investment Services,LLC other | Other | Apr 12, 2011 | May 9, 2011 |
| Ryan Singleton Copley | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Apr 11, 2011 | Jul 11, 2011 (91 d) |
| Jone Lee | Chase Investment Services Corp. other | Northwestern Mutual Investment Services,LLC other | Other | Mar 29, 2011 | Apr 20, 2015 (1483 d) |
| Kevin Dennis Currutt | Headwaters Investment Counsel, LLC unclassified | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 28, 2011 | Apr 9, 2018 (2569 d) |
| Marcos Alberto Rionda | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Feb 28, 2011 | Apr 15, 2011 (46 d) |
| Traci Jeanine Bryson | Resource Horizons Investment Advisory, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Feb 28, 2011 | May 6, 2011 (67 d) |
| Jessica A Morgan | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Feb 22, 2011 | Jun 18, 2012 (482 d) |
| Randall J Weitzer | Robert W. Baird & Co. Incorporated other | Northwestern Mutual Investment Services,LLC other | Other | Feb 14, 2011 | Mar 1, 2011 |
| Jason Alan Dallmann | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Jan 27, 2011 | Mar 25, 2011 (57 d) |
| David R Faulkner | Placemark Investments, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Jan 18, 2011 | Aug 15, 2011 (209 d) |
| David Michael Muehl | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jan 13, 2011 | Feb 4, 2011 |
| Suzette Burns Bates | LPL Financial LLC other | Northwestern Mutual Investment Services,LLC other | Other | Dec 31, 2010 | Aug 30, 2012 (608 d) |
| David Joseph Henderson | Chase Investment Services Corp. other | Northwestern Mutual Investment Services,LLC other | Other | Dec 13, 2010 | Feb 16, 2011 (65 d) |
| Deana Christine Lehman | LPL Financial LLC other | Northwestern Mutual Investment Services,LLC other | Other | Nov 22, 2010 | Feb 9, 2012 (444 d) |
| Andrew Douglass Mullins | Lanark Financial, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Nov 19, 2010 | Mar 23, 2011 (124 d) |
| Nicholas Kaiser | Edward Jones national BD | Northwestern Mutual Investment Services,LLC other | Other | Nov 15, 2010 | Oct 8, 2013 (1058 d) |
| Dylan Hoon | Edward Jones national BD | Northwestern Mutual Investment Services,LLC other | Other | Oct 28, 2010 | Oct 17, 2011 (354 d) |
| Lawrence Ewing Stevenson | Td Ameritrade, Inc. no RAUM | Northwestern Mutual Investment Services,LLC other | Other | Oct 21, 2010 | Nov 23, 2010 (33 d) |
| Lawrence Ewing Stevenson | Td Ameritrade Investment Management, LLC other | Northwestern Mutual Investment Services,LLC other | Other | Oct 21, 2010 | Nov 23, 2010 (33 d) |
| Amy H Sullivan | J.J.B. Hilliard, W.L. Lyons, LLC other | Northwestern Mutual Investment Services,LLC other | Other | Oct 19, 2010 | Dec 22, 2010 (64 d) |
| Susan Ruhland | Robert W. Baird & Co. Incorporated other | Northwestern Mutual Investment Services,LLC other | Other | Sep 29, 2010 | Apr 13, 2012 (562 d) |
| Nicole Ann Cantrill | Cetera Advisors LLC other | Northwestern Mutual Investment Services,LLC other | Other | Sep 14, 2010 | Oct 14, 2010 |
| Thomas George Dolby | Shelton Capital Management other | Northwestern Mutual Investment Services,LLC other | Other | Sep 9, 2010 | Nov 23, 2011 (440 d) |
| Joseph Naiman | New England Securities Corporation other | Northwestern Mutual Investment Services,LLC other | Other | Sep 8, 2010 | Sep 29, 2011 (386 d) |
| Louis Wellmeier | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Aug 30, 2010 | Nov 18, 2010 (80 d) |
| Jared Lee Rohrer | Waddell & Reed other | Northwestern Mutual Investment Services,LLC other | Other | Aug 23, 2010 | Jun 2, 2011 (283 d) |
| Timothy James Hoezee | Principal Securities, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Aug 3, 2010 | Oct 12, 2010 (70 d) |
| Dominique Davis | UBS Financial Services Inc. wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jul 6, 2010 | Dec 16, 2010 (163 d) |
| Joel Thomas Blattner | Sii Investments, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Jun 17, 2010 | Jul 20, 2010 (33 d) |
| Barbara Ann Martin | Suntrust Investment Services, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | May 10, 2010 | Jul 14, 2010 (65 d) |
| Matthew Kuhn | Investacorp Advisory Services Inc other | Northwestern Mutual Investment Services,LLC other | Other | May 4, 2010 | Jun 29, 2010 (56 d) |
| Roy Esh | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 30, 2010 | Jan 1, 2025 (5360 d) |
| Paul Anthony Maslowski | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Apr 12, 2010 | May 3, 2010 |
| Cindy S Bojanski | Cetera Investment Services LLC other | Northwestern Mutual Investment Services,LLC other | Other | Apr 9, 2010 | Mar 4, 2015 (1790 d) |
| Barbara Theresa Doty | Raymond James Financial Services Advisors, Inc other | Northwestern Mutual Investment Services,LLC other | Other | Apr 5, 2010 | Jun 15, 2010 (71 d) |
| Erik Patrick Daniels | U.S. Bancorp Investments, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Apr 1, 2010 | Aug 30, 2010 (151 d) |
| Coreen Marie Mills | M&I Financial Advisors, Inc. no RAUM | Northwestern Mutual Investment Services,LLC other | Other | Mar 31, 2010 | Oct 24, 2011 (572 d) |
| Bradley Jay Hunter | Edward Jones national BD | Northwestern Mutual Investment Services,LLC other | Other | Mar 31, 2010 | Jun 16, 2010 (77 d) |
| Karla Jill Brown | Securities America Advisors, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Mar 23, 2010 | Apr 8, 2010 |
| Steven Richard Ambriz | Edward Jones national BD | Northwestern Mutual Investment Services,LLC other | Other | Mar 2, 2010 | Apr 27, 2010 (56 d) |
| Melodie Kay Ace | Bfe Asset Management, LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Feb 16, 2010 | Mar 10, 2010 |
| Lisa Ann Bellamy | Legacy Tax And Financial Planning, LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Feb 2, 2010 | Jan 19, 2012 (716 d) |
| Crystal Faith Goodwin | Pruco Securities, LLC other | Northwestern Mutual Investment Services,LLC other | Other | Jan 22, 2010 | Oct 11, 2011 (627 d) |
| Erin Marie Rohn | Chase Investment Services Corp. other | Northwestern Mutual Investment Services,LLC other | Other | Jan 22, 2010 | Dec 21, 2010 (333 d) |
| Lance Adam Tacquard | Chase Investment Services Corp. other | Northwestern Mutual Investment Services,LLC other | Other | Jan 21, 2010 | Mar 2, 2010 (40 d) |
| Kimberly A Cox | Morgan Stanley wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jan 19, 2010 | Mar 3, 2010 (43 d) |
| Stuart Anderson Fleck | Equitable Advisors, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Jan 8, 2010 | Aug 10, 2011 (579 d) |