Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Baum is a financial advisor with Northwestern Mutual Investment Services, LLC, located in Santa Monica, California. Stephen specializes in investment products and services, and is registered to offer securities in California. Stephen has over 2 years of experience in the financial services industry.
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
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2
CA
03/29/2024 - Present
Northwestern Mutual Investment Services, LLC (Santa Monica CA)
BC
Issued 06/15/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/29/2024
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 02/13/2024
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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