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Stephen Patrick Whittemore

Northwestern Mutual Investment Services, LLC

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About Stephen Patrick Whittemore

Stephen Patrick Whittemore is a registered investment advisor representative with Northwestern Mutual Investment Services, LLC. Stephen has been in the financial services industry since 1984. Stephen has a Series 6, Series 22, Series 63, and Series 65. Stephen has a branch office location in Glastonbury, CT. Stephen 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 has been employed with Northwestern Mutual Life since 1980 and has worked with Northwestern Mutual Investment Services, LLC since 1984.

Firm Information

Stephen Whittemore 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

437 NAUBUC AVE STE 108

GLASTONBURY, CT 06033

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 Whittemore’s Registration & Firm History

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)

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Licenses & Designations

IA

Issued 12/13/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 4/16/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/29/1985

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 4/4/1984

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 Patrick Whittemore.
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