Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Thomas Guinan is a financial advisor registered with Northwestern Mutual Investment Services, LLC. Stephen has been in the financial services industry since January 19, 1989 and has been registered with Northwestern Mutual Investment Services, LLC since March 28, 2008. Stephen is also a registered investment advisor in Pennsylvania. Stephen has a long history of working with clients in a variety of financial planning and investment needs. Stephen is dedicated to providing personalized financial advice and guidance to help clients achieve their financial goals.
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
PA
03/28/2008 - Present
Northwestern Mutual Investment Services, LLC (KNG OF PRUSSIA PA)
WI
07/01/1991 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
FL
12/18/1990 - 12/20/1990
CHEEVERS, HAND & ANGELINE, INC. (WEST PALM BEACH FL)
NJ
10/04/1988 - 07/28/1990
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
10/04/1988 - 07/28/1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 12/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/4/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 5/31/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 5/22/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 6/11/1996
Series 12 - NYSE Branch Manager Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2005
Series 7 - General Securities Representative Examination
BC
Issued 10/3/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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