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Steven Alan Midgley

Northwestern Mutual Investment Services, LLC

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About Steven Alan Midgley

Steven Alan Midgley is a financial advisor who has been in the industry since 1997. Steven is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since 2006. Previously, Steven has also worked at Walnut Street Securities, Inc., Nathan & Lewis Securities, Inc. and New England Securities. Steven holds Series 7, Series 63, and Series 53 licenses.

Firm Information

Steven Midgley 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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Steven Midgley’s Registration & Firm History

MO

11/08/2006 - Present

Northwestern Mutual Investment Services, LLC (SAINT LOUIS MO)

CA

08/01/2003 - 12/06/2004

WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)

NY

11/30/2001 - 08/01/2003

NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)

NY

09/08/1993 - 11/29/1999

NEW ENGLAND SECURITIES (NEW YORK NY)

NA

01/01/1993 - 06/04/1993

MARK TWAIN BROKERAGE SERVICES, INC.

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Licenses & Designations

BC

Issued 10/16/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/22/1993

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/25/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Alan Midgley.
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