Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erik? Claim Your ProfileErik Michael Stephens is a financial advisor registered with Northwestern Mutual Investment Services, LLC. Erik is a licensed broker in 28 states, including Ohio, California, and Florida. Erik is also a registered principal and has a series 63 license. Erik's first day in the financial services industry was December 9, 2015, and he has been registered with Northwestern Mutual Investment Services, LLC since December 10, 2015.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Investment research; referrals to other advisers
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
OH
12/10/2015 - Present
Northwestern Mutual Investment Services, LLC (CINCINNATI OH)
BC
Issued 01/16/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/05/2020
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 03/19/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Erik Stephens is the right advisor for you? Invested Better is here to help.
