Unclaimed
Stephen Patrick Whittemore is a registered investment advisor representative with Northwestern Mutual Investment Services, LLC. Stephen has been in the securities industry since April 4, 1984. Stephen holds Series 6, 22, 63 and 65 licenses and is registered in Connecticut. Stephen is also licensed to sell insurance and may earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity and/or disability income insurance products. Stephen is affiliated with Northwestern Mutual Investment Services, LLC located in Glastonbury, CT. Stephen is also affiliated with Northwestern Mutual Wealth Management Company and has been employed by Northwestern Mutual Life and Northwestern Mutual Investment Services, LLC in various locations since 1980.
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
CT
01/22/2008 - Present
Northwestern Mutual Investment Services, LLC (GLASTONBURY CT)
WI
08/10/1984 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 12/13/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1985
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 04/04/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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