| Eric Nicholas Sanger | Osaic Fa, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Dec 31, 2009 | Mar 17, 2010 (76 d) |
| Brandyn Duwayne Hendrickson | Capital Financial Services, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Dec 21, 2009 | Apr 19, 2010 (119 d) |
| James Franklin Liddington | E*Trade Capital Management, LLC other | Northwestern Mutual Investment Services,LLC other | Other | Nov 24, 2009 | Jul 6, 2015 (2050 d) |
| Melissa Ann Packee | Kult Wealth Management Group, LLC other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 18, 2009 | Jan 3, 2025 (5525 d) |
| Richard James Perry | Fort Washington Investment Advisors Inc other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 10, 2009 | Aug 20, 2025 (5762 d) |
| Corey Douglas Ross | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Nov 6, 2009 | Feb 11, 2010 (97 d) |
| Andrew E Gough | Chase Investment Services Corp. other | Northwestern Mutual Investment Services,LLC other | Other | Nov 6, 2009 | Apr 7, 2010 (152 d) |
| Sarah H Willson | Chase Investment Services Corp. other | Northwestern Mutual Investment Services,LLC other | Other | Nov 2, 2009 | Nov 3, 2011 (731 d) |
| Fredric Mackey Schneider | Peachtree Financial Advisers, LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Oct 27, 2009 | Oct 9, 2003 |
| Charles Walker Sullivan | Peachtree Financial Advisers, LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Oct 27, 2009 | Dec 16, 2003 |
| Brian George Froehlich | Park Avenue Securities LLC other | Northwestern Mutual Investment Services,LLC other | Other | Oct 21, 2009 | Jan 7, 2010 (78 d) |
| Keith Smith | Smith Portfolio Review Service, L.L.C. unclassified | Northwestern Mutual Investment Services,LLC other | Other | Oct 20, 2009 | Sep 22, 2014 (1798 d) |
| Rusty Edward Hanna | Chase Investment Services Corp. other | Northwestern Mutual Investment Services,LLC other | Other | Oct 14, 2009 | Nov 5, 2010 (387 d) |
| Nathan S Embry | J.J.B. Hilliard, W.L. Lyons, LLC other | Northwestern Mutual Investment Services,LLC other | Other | Oct 9, 2009 | Sep 28, 2010 (354 d) |
| Timothy Douglas Jensen | Chase Investment Services Corp. other | Northwestern Mutual Investment Services,LLC other | Other | Sep 28, 2009 | Oct 29, 2009 (31 d) |
| Justin Poplawski | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Sep 28, 2009 | May 12, 2010 (226 d) |
| Michael Anthony Fisher | Wells Fargo Investments, LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Sep 24, 2009 | Apr 28, 2010 (216 d) |
| Andrew M Johnson | Credit Union Investment Services state registered | Northwestern Mutual Investment Services,LLC other | Other | Sep 11, 2009 | Nov 30, 2009 (80 d) |
| Jasper E Smith | Osaic Fa, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Aug 31, 2009 | Jan 11, 2010 (133 d) |
| David Timothy Drumhiller | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Aug 24, 2009 | May 21, 2010 (270 d) |
| Michael Joseph Vicars | Waddell & Reed other | Northwestern Mutual Investment Services,LLC other | Other | Aug 20, 2009 | Aug 2, 2010 (347 d) |
| Aaron Christopher Kilbride | Valic Financial Advisors, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Aug 11, 2009 | Sep 21, 2009 (41 d) |
| Joshua Trev Lieberman | Securian Financial Services, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Jul 17, 2009 | Aug 31, 2009 (45 d) |
| Benjamin Arthur Worley | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jul 16, 2009 | Oct 8, 2009 (84 d) |
| Lisa Lindley Raboin | Morgan Stanley & Co. LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Jul 15, 2009 | Jun 30, 2010 (350 d) |
| Richard James Perry | Strategic Institutional Consulting Group, LLC unclassified | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jul 15, 2009 | Aug 20, 2025 (5880 d) |
| David Lewis King | Morgan Stanley & Co. LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Jul 15, 2009 | Apr 22, 2010 (281 d) |
| Joseph Anthony Simons | Kowal Investment Group, LLC independent RIA | Northwestern Mutual Investment Services,LLC other | Other | Jun 10, 2009 | Jul 31, 2009 (51 d) |
| Joshua Mark Eisenberg | Td Ameritrade, Inc. no RAUM | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 20, 2009 | Jan 1, 2025 (5705 d) |
| Joshua Mark Eisenberg | Td Ameritrade Investment Management, LLC other | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 20, 2009 | Jan 1, 2025 (5705 d) |
| Chad Michael Opel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | May 14, 2009 | May 14, 2009 |
| Heath Harold Hamrick | Edward Jones national BD | Northwestern Mutual Investment Services,LLC other | Other | May 13, 2009 | May 12, 2009 |
| Faye Michael Sykes | Edward Jones national BD | Northwestern Mutual Investment Services,LLC other | Other | Apr 29, 2009 | Jun 4, 2009 (36 d) |
| Anne Aslan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Apr 24, 2009 | Jan 19, 2024 (5383 d) |
| Jason Scot Bell | Morgan Stanley & Co. LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Apr 13, 2009 | Apr 29, 2009 |
| Scott William Painter | Lindus Advisors, Inc. state registered | Northwestern Mutual Investment Services,LLC other | Other | Apr 7, 2009 | Oct 5, 2010 (546 d) |
| Miguel Rafael Valdez | Stanford Group Company unclassified | Northwestern Mutual Investment Services,LLC other | Other | Mar 30, 2009 | Jan 13, 2010 (289 d) |
| Kerri Allison Allen | Banc Of America Investment Services, Inc. unclassified | Northwestern Mutual Investment Services,LLC other | Other | Mar 25, 2009 | Jul 15, 2009 (112 d) |
| Robert Garr Schwartz | Banc Of America Investment Services, Inc. unclassified | Northwestern Mutual Investment Services,LLC other | Other | Mar 20, 2009 | Jun 17, 2009 (89 d) |
| Philip Marcus Crow | 1st Global Advisors Inc other | Northwestern Mutual Investment Services,LLC other | Other | Mar 19, 2009 | Oct 9, 2009 (204 d) |
| Andrea Ruth Bevanda | Dewaay Capital Management other | Northwestern Mutual Investment Services,LLC other | Other | Mar 12, 2009 | Oct 7, 2009 (209 d) |
| William Basel | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Mar 11, 2009 | Apr 15, 2010 (400 d) |
| Mark Andrew Gelbman | Vsr Advisory Services other | Northwestern Mutual Investment Services,LLC other | Other | Mar 5, 2009 | Jun 30, 2009 (117 d) |
| Robert Matthew Donovan | Morgan Stanley & Co. LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Mar 4, 2009 | Sep 11, 2009 (191 d) |
| Lawrence Ewing Stevenson | Strategic Advisers LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Feb 18, 2009 | Jul 1, 2009 (133 d) |
| Jon-Pierre Evans | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Feb 18, 2009 | Mar 30, 2010 (405 d) |
| Paul James Rubacka | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Feb 12, 2009 | Jul 16, 2009 (154 d) |
| Joseph P Plyler | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Feb 12, 2009 | Jun 19, 2009 (127 d) |
| Robert Samuel Berman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Feb 11, 2009 | Jul 30, 2009 (169 d) |
| Christopher Lee Hacker | Edward Jones national BD | Northwestern Mutual Investment Services,LLC other | Other | Feb 5, 2009 | Jun 9, 2009 (124 d) |
| Shelly Marie Burroughs | Edward Jones national BD | Northwestern Mutual Investment Services,LLC other | Other | Jan 8, 2009 | Oct 7, 2009 (272 d) |
| Jarrett Andrew Krienes | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jan 2, 2009 | Apr 17, 2009 (105 d) |
| Rodney J Parivechio | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jan 2, 2009 | Jun 27, 2013 (1637 d) |
| Timothy Jay Bayee | Van Kampen Advisors Inc unclassified | Northwestern Mutual Investment Services,LLC other | Other | Dec 24, 2008 | Nov 17, 2011 (1058 d) |
| Joseph Zorn | True North Advisors, LLC other | Northwestern Mutual Investment Services,LLC other | Other | Dec 23, 2008 | Jun 14, 2010 (538 d) |
| Cyron Wayne Hamer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Dec 22, 2008 | May 1, 2009 (130 d) |
| Michael Kwong Chan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Dec 22, 2008 | Feb 20, 2009 (60 d) |
| Jean Belcher Gadd | Msi Financial Services, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Dec 22, 2008 | Jan 26, 2009 (35 d) |
| Melanie Huff Chenault | Citigroup Global Markets Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Dec 16, 2008 | Apr 21, 2009 (126 d) |
| Janice S Charles | Money Strategies, LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Dec 1, 2008 | Oct 29, 2009 (332 d) |