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Stephen D Marcum

Northwestern Mutual Investment Services, LLC

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About Stephen D Marcum

Stephen D. Marcum is a financial professional who has been serving clients since 2011. Stephen is currently registered with Northwestern Mutual Investment Services, LLC. Stephen is licensed in California and Wisconsin and has previously been registered with Morgan Stanley and Wells Fargo Advisors, LLC. Stephen is a Series 66, 10, 9, 6TO, SIE and Series 7 licensed professional. Stephen's current employment began with Northwestern Mutual Investment Services, LLC in August 2021. Stephen has been working with financial clients for over a decade.

Firm Information

Stephen Marcum is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

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.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Stephen Marcum’s Registration & Firm History

WI

08/19/2021 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

CA

08/07/2015 - 06/30/2021

MORGAN STANLEY (ROSEVILLE CA)

CA

11/06/2012 - 07/28/2015

WELLS FARGO ADVISORS, LLC (ROSEVILLE CA)

CA

02/23/2011 - 11/02/2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SACRAMENTO CA)

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Licenses & Designations

BOTH

Issued 06/01/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/04/2011

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/11/2011

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/22/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen D Marcum.
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