Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Straw is an investment advisor representative at Northwestern Mutual Investment Services, LLC. Stephen has been in the financial industry since 1995, with a wide range of experience, having worked with several firms over the years. Stephen is registered with both FINRA and the Securities and Exchange Commission. Stephen is a certified financial planner, and holds a Series 65, Series 63, Series 10, Series 9, Series 24, Series 8, Series 7, and SIE.
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
NY
09/30/2020 - Present
Northwestern Mutual Investment Services, LLC (NEW YORK NY)
VA
11/28/2017 - 05/20/2019
FOLIO INVESTMENTS, INC. (MCLEAN VA)
FL
05/13/2016 - 11/27/2017
SIGNATOR INVESTORS, INC. (ST. PETERSBURG FL)
FL
09/04/2009 - 05/13/2016
TRANSAMERICA FINANCIAL ADVISORS, INC (ST. PETERSBURG FL)
CA
07/10/2006 - 09/04/2009
TRANSAMERICA FINANCIAL ADVISORS, INC. (LOS ANGELES CA)
IL
02/13/2006 - 06/16/2006
ZACKS & COMPANY (CHICAGO IL)
TX
08/27/1998 - 01/11/2006
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NE
08/08/1995 - 07/29/1998
WATERHOUSE SECURITIES, INC. (OMAHA NE)
CA
07/26/1994 - 07/21/1995
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
MI
12/23/1993 - 02/11/1994
OLDE DISCOUNT CORPORATION (DETROIT MI)
IA
Issued 11/24/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/13/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/30/2008
Series 24 - General Securities Principal Examination
BC
Issued 05/20/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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