| Gregory Lynn Mullican | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Nov 12, 2008 | Nov 10, 2008 |
| Paul R Stover | Morgan Stanley & Co. LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Oct 13, 2008 | Jan 19, 2010 (463 d) |
| Kristen L Mckeown | New England Securities Corporation other | Northwestern Mutual Investment Services,LLC other | Other | Oct 9, 2008 | Apr 30, 2009 (203 d) |
| Peter Owens Cox | Commonwealth Financial Network national BD | Northwestern Mutual Investment Services,LLC other | Other | Oct 7, 2008 | Oct 24, 2008 |
| Ryan Patrick Vandeloo | Russell Investments other | Northwestern Mutual Investment Services,LLC other | Other | Sep 26, 2008 | Nov 13, 2008 (48 d) |
| Melissa Kay Fisher | New England Securities Corporation other | Northwestern Mutual Investment Services,LLC other | Other | Sep 15, 2008 | Sep 30, 2008 |
| Kelly Kaczmarek | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Sep 4, 2008 | Apr 17, 2009 (225 d) |
| Nicholas Justin Brannen | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Aug 15, 2008 | Sep 4, 2008 |
| Shawn Jen Hsieh | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Aug 14, 2008 | May 29, 2009 (288 d) |
| Sarah Jane Hautman | Raymond James & Associates, Inc. national BD | Northwestern Mutual Investment Services,LLC other | Other | Jul 24, 2008 | Jan 29, 2014 (2015 d) |
| Debora Jeanne Duis | Robert W. Baird & Co. Incorporated other | Northwestern Mutual Investment Services,LLC other | Other | Jul 10, 2008 | Aug 22, 2008 (43 d) |
| Brian Stewart | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jul 10, 2008 | Aug 15, 2008 (36 d) |
| Ivan Ji Cen | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Jul 7, 2008 | Oct 9, 2008 (94 d) |
| Todd E Holquist | J.P. Morgan Securities Inc. unclassified | Northwestern Mutual Investment Services,LLC other | Other | Jul 2, 2008 | Jan 13, 2010 (560 d) |
| Erin Marie Hershey | Equitable Advisors, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Jul 1, 2008 | Feb 5, 2009 (219 d) |
| Antoine Emmette Toussaint | Morgan Stanley & Co. LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Jun 18, 2008 | Aug 26, 2008 (69 d) |
| Nancy P Garrison | 1st Global Advisors Inc other | Northwestern Mutual Investment Services,LLC other | Other | Jun 17, 2008 | Jul 30, 2008 (43 d) |
| Jeffrey Scott Pirkl | Ameriprise Advisor Services, Inc. unclassified | Northwestern Mutual Investment Services,LLC other | Other | Jun 17, 2008 | Oct 1, 2008 (106 d) |
| Julio Roberto Dolorico | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jun 11, 2008 | Sep 16, 2015 (2653 d) |
| Jonathan Duane Hunt | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jun 3, 2008 | Jul 1, 2011 (1123 d) |
| Rafael Antonio Gutierrez | Thrivent Investment Management Inc. other | Northwestern Mutual Investment Services,LLC other | Other | May 28, 2008 | Aug 4, 2008 (68 d) |
| David Joseph Dieal | Equitable Advisors, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | May 13, 2008 | Jun 12, 2008 |
| Victor James Borowsky | MML Investors Services, LLC other | Northwestern Mutual Investment Services,LLC other | Other | Apr 23, 2008 | May 16, 2008 |
| Todd Mathew Colburn | Sagepoint Financial, Inc. other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 11, 2008 | Jan 1, 2026 (6474 d) |
| Sisse Sy Ferguson-Torok | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Apr 11, 2008 | Jun 12, 2008 (62 d) |
| Xiong-Bo Huang | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Apr 11, 2008 | Jun 3, 2010 (783 d) |
| Timothy Nelson Hunt | Cetera Advisor Networks LLC other | Northwestern Mutual Investment Services,LLC other | Other | Mar 11, 2008 | Jul 11, 2008 (122 d) |
| Holly Flores | UBS Financial Services Inc. wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Feb 27, 2008 | May 20, 2011 (1178 d) |
| Andre Rene Ramirez | Wells Fargo Investments, LLC unclassified | Northwestern Mutual Investment Services,LLC other | Other | Feb 25, 2008 | Jun 12, 2008 (108 d) |
| Michael Sean Robustelli | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Feb 6, 2008 | Dec 21, 2010 (1049 d) |
| Scott Patrick Evans | Advice And Planning Services other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jan 22, 2008 | Dec 20, 2016 (3255 d) |
| My To Dinh | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Jan 18, 2008 | Sep 11, 2008 (237 d) |
| Joshua Ariel Lelah | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Dec 31, 2007 | Jun 29, 2010 (911 d) |
| Matthew William Jablonski | Russell Investments other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Dec 21, 2007 | Jan 21, 2025 (6241 d) |
| Lewis Walter Race | Cetera Advisor Networks LLC other | Northwestern Mutual Investment Services,LLC other | Other | Dec 20, 2007 | Feb 28, 2008 (70 d) |
| Frederick B Denitz | Bny Mellon Securities Corporation other | Northwestern Mutual Investment Services,LLC other | Other | Dec 10, 2007 | Mar 2, 2009 (448 d) |
| Orvil John Elia | A. G. Edwards & Sons, Inc. unclassified | Northwestern Mutual Investment Services,LLC other | Other | Dec 5, 2007 | Aug 18, 2009 (622 d) |
| Albert Martinez | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Dec 5, 2007 | Oct 30, 2008 (330 d) |
| Joel Robert Anderson | Edward Jones national BD | Northwestern Mutual Investment Services,LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 14, 2007 | Dec 10, 2020 (4775 d) |
| Michael Gagala | Edward Jones national BD | Northwestern Mutual Investment Services,LLC other | Other | Nov 2, 2007 | Jan 7, 2008 (66 d) |
| Gordon Benjamin Reeder | Hbks Wealth Advisors other | Northwestern Mutual Investment Services,LLC other | Other | Oct 29, 2007 | Feb 21, 2008 (115 d) |
| Darla Jean Goodrich | Integrity Alliance, LLC other | Northwestern Mutual Investment Services,LLC other | Other | Oct 23, 2007 | Oct 5, 2009 (713 d) |
| James Colin Sturgis | Suntrust Investment Services, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Oct 22, 2007 | Nov 13, 2007 |
| James Matthew Mayes | Fifth Third Securities, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Oct 19, 2007 | Nov 5, 2007 |
| Jason Michael Dorn | Robert W. Baird & Co. Incorporated other | Northwestern Mutual Investment Services,LLC other | Other | Oct 10, 2007 | Oct 25, 2007 |
| Santos Guadalupe Salinas | Thrivent Investment Management Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Oct 1, 2007 | Nov 21, 2007 (51 d) |
| Steve Mangold | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Sep 5, 2007 | Oct 26, 2007 (51 d) |
| Michael Joe Mathews | Financial Independence Group unclassified | Northwestern Mutual Investment Services,LLC other | Other | Aug 8, 2007 | Dec 16, 2003 |
| Kevin Bruce Graham | Raymond James Financial Services, Inc. unclassified | Northwestern Mutual Investment Services,LLC other | Other | Aug 3, 2007 | Sep 6, 2007 (34 d) |
| Corey Franco | First Montauk Securities Corp. unclassified | Northwestern Mutual Investment Services,LLC other | Other | Jul 6, 2007 | Oct 15, 2007 (101 d) |
| Christopher Michael Young | Wells Fargo Advisors wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jul 6, 2007 | Aug 1, 2007 |
| Shawn James Orbach | UBS Financial Services Inc. wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Jun 26, 2007 | Jul 13, 2007 |
| Christopher Michael Rhanor | LPL Financial LLC other | Northwestern Mutual Investment Services,LLC other | Other | May 15, 2007 | Oct 4, 2007 (142 d) |
| Charles Henry Bergamo | Thrivent Investment Management Inc. other | Northwestern Mutual Investment Services,LLC other | Other | May 14, 2007 | Jun 20, 2007 (37 d) |
| Steven Edward Silvey | Osaic Fa, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Apr 24, 2007 | May 9, 2007 |
| Michael J Mass | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Northwestern Mutual Investment Services,LLC other | Other | Apr 24, 2007 | May 11, 2007 |
| Ian Ross Tomlinson | First Command Financial Planning, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Apr 5, 2007 | Aug 9, 2007 (126 d) |
| Shannon Rae Ouellette | Northwestern Mutual Wealth Management Company unclassified | Northwestern Mutual Investment Services,LLC other | Other | Mar 30, 2007 | Apr 2, 2007 |
| Mary Frances Rickford | Ameriprise Financial Services, LLC national BD | Northwestern Mutual Investment Services,LLC other | Other | Mar 26, 2007 | Jan 4, 2011 (1380 d) |
| Mitchell Blaine Glover | Northwestern Mutual Wealth Management Company unclassified | Northwestern Mutual Investment Services,LLC other | Other | Mar 23, 2007 | Jan 28, 2010 (1042 d) |