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Stephen Thomas Carter

Northwestern Mutual Investment Services, LLC

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About Stephen Thomas Carter

Stephen Carter is a financial professional with over 35 years of experience in the industry. Stephen is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since June 2011. Previously, Stephen was registered with Robert W. Baird & Co. Incorporated from April 1987 to January 2002. Stephen holds Series 6, 7, 63 and 66 securities licenses. Stephen also holds a Series SIE license. Stephen is registered to provide investment advice in 23 states and holds a license to provide investment advice in Indiana. Stephen is a graduate of Northwestern Mutual's Agent Training Program and earned the designation of Chartered Life Underwriter. Stephen has a long and successful career in the financial services industry and is committed to providing his clients with the highest level of service.

Firm Information

Stephen Carter 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 Carter’s Registration & Firm History

IN

06/10/2011 - Present

Northwestern Mutual Investment Services, LLC (MISHAWAKA IN)

WI

04/24/1987 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 06/09/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/18/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/22/2001

Series 7 - General Securities Representative Examination

BC

Issued 05/24/1983

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 Thomas Carter.
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