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Stephen Francis Gross

Northwestern Mutual Investment Services, LLC

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About Stephen Francis Gross

Stephen Francis Gross has been in the financial services industry since May 9, 1994. Stephen is currently registered with Northwestern Mutual Investment Services, LLC, a broker-dealer, and a registered investment advisor in Missouri. Stephen holds the Series 6, 7, 9, 10, 26, 63, 66, 99 and SIE securities licenses. Stephen is also registered as an investment advisor representative in Missouri. Prior to joining Northwestern Mutual Investment Services, LLC, Stephen worked for Robert W. Baird & Co. Incorporated.

Firm Information

Stephen Gross is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

101 S Hanley Rd Ste 1900

Clayton, MO 63105

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 Gross’s Registration & Firm History

MO

01/18/2011 - Present

Northwestern Mutual Investment Services, LLC (Clayton MO)

WI

02/04/1999 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

BOTH

Issued 1/17/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 3/16/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 5/10/2007

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 3/16/2007

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/25/2002

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 2/12/2007

Series 7 - General Securities Representative Examination

BC

Issued 5/6/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Francis Gross.
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