MASON STREET ADVISORS, LLC of MILWAUKEE, WI is an SEC-registered investment adviser (CRD 114085). Regulatory assets under management: $39.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: Charities.
Showing 25 of 30 people.
| Name | Role | Location |
|---|---|---|
| Matthew Eugene Gabrys | CHIEF COMPLIANCE OFFICER | — |
| Michael Jordan Conmey | CHIEF COMPLIANCE OFFICER | — |
| David John Drury | DIRECTOR | — |
| Bonnie Lynn Tomczak | CHAIR & DIRECTOR OF THE BOARD; CHAIRMAN OF THE BOARD | — |
| Brent Gregory Schutte | CHIEF INVESTMENT OFFICER & DIRECTOR | — |
| Andrew John Heistad | TREASURER | — |
| Paul Anthony Mikelson | PRESIDENT & DIRECTOR | — |
| FLEMING CATHERINE MARIE | PRESIDENT; PRESIDENT & DIRECTOR; PRESIDENT, DIRECTOR & TREASURER (+3 more) | — |
| ROSS MASON G | CHAIRMAN OF THE BOARD | — |
| DOLL MARK GEORGE | CHAIRMAN OF THE BOARD; PRESIDENT AND DIRECTOR; PRESIDENT/CHIEF OPERATING OFFICER/DIRECTOR | — |
| DEANGELIS JEFFERSON VINCENT | PRESIDENT AND DIRECTOR; TREASURER | — |
| BAUER CHRIS MICHAEL | DIRECTOR; INDEPENDENT DIRECTOR | — |
| ZIELINSKI MICHAEL W | CHIEF COMPLIANCE OFFICER | — |
| DRURY DAVID JOHN | DIRECTOR | — |
| DRYDEN EDWARD STUART | CHIEF COMPLIANCE OFFICER | — |
| POLINER GARY ALAN | CHAIRMAN OF THE BOARD | — |
| VANKAMPEN PATRICIA LOUISE | VICE PRESIDENT-PUBLIC EQUITIES | — |
| JOELSON RONALD PETER | CHAIRMAN OF THE BOARD; CHAIRMAN OF THE BOARD, PRESIDENT | — |
| SWAIN CHRISTOPHER PAUL | VICE PRESIDENT-INVESTMENTS | — |
| PAVLICK RANDY MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| HEISTAD ANDREW JOHN | TREASURER; VICE PRESIDENT AND TREASURER | — |
| ELLS RALPH DAVID | CHAIRMAN OF THE BOARD | — |
| BENTLEY JOHN EMERSON | CHAIRMAN OF THE BOARD | — |
| KROPP ROSANNE LEA | DIRECTOR; DIRECTOR & TREASURER | — |
| CONMEY MICHAEL JORDAN | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-10-02 | regulatory | THE PENNSYLVANIA INSURANCE DEPARTMENT IDENTIFIED VIOLATIONS IN THE FOLLOWING AREAS: COMPREHENSIVE FILE DOCUMENTATION, REVIEW AND REVISION OF INTERNAL CONTROL PROCEDURES TO ENSURE COMPLIANCE WITH STATUTORY COMPLAINT AND FILE HANDLING, FREE LOOK STATEMENT, ILLUSTRATION CERTIFICATION AND DELIVERY, DISC… | Final | $250K |
| 2022-12-08 | regulatory | THE COMPANY USED A FORM THAT WAS NOT APPROVED BY THE NEW HAMPSHIRE INSURANCE DEPARTMENT. THE COMPANY DECLINED SOME INSURANCE APPLICANTS BUT COULD NOT PRODUCE A DECLINATION LETTER. | Final | $220K |
| 2022-11-21 | regulatory | EMPLOYEES OF NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (NMIS), NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC (NMIMC), AND MASON STREET ADVISORS, LLC (MSA) SENT AND RECEIVED OFF-CHANNEL COMMUNICATIONS RELATED TO THE BUSINESS OF THE ENTITIES. THESE OFF-CHANNEL COMMUNICATIONS WERE NOT CAPTU… | Final | $16.5M |
| 2021-07-29 | regulatory | ADVERTISEMENTS SENT BY AGENTS TO PROSPECTIVE CLIENTS MISREPRESENTED AGENT EXPERIENCE AND CLIENT BASE. | Final | $200K |
| 2020-06-24 | regulatory | THE WASHINGTON OFFICE OF INSURANCE COMMISSIONER DETERMINED THAT THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY ACCEPTED ANNUITY APPLICATIONS FROM PRODUCERS THAT DID NOT COMPLETE THE REQUIRED ANNUITY SUITABILITY TRAINING. | Final | $2K |
| 2020-04-12 | regulatory | WASHINGTON OFFICE OF INSURANCE COMMISSIONER DETERMINED THAT THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY WAS NOT PAYING THE CORRECT AMOUNT OF INTEREST ON SOME LIFE INSURANCE DEATH CLAIMS GOVERNED BY WASHINGTON LAW. | Final | $20K |
| 2018-05-22 | regulatory | FINE, RESTITUTION AND INJUNCTION RELATED TO THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTS WITH IMMEDIATE INCOME ANNUITY CONTRACTS | Final | $26K |
| 2017-06-30 | regulatory | THE VERMONT DEPARTMENT OF FINANCIAL REGULATION ASSERTS THAT NORTHWESTERN MUTUAL DID NOT COMPLY WITH VERMONT LAW BY PAYING INTEREST BEFORE SETTLEMENT OF LIFE INSURANCE DEATH CLAIMS AT LESS THAN THE VERMONT STATUTORY RATE FOR CLAIMS IN WHICH THE BENEFICIARY RESIDED IN VERMONT AND THE LIFE INSURANCE PO… | Final | $287K |