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Steven Andrew Morlock

Northwestern Mutual Investment Services, LLC

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About Steven Andrew Morlock

Steven Morlock is an Indianapolis, Indiana based financial advisor with Northwestern Mutual Investment Services, LLC. Steven has been in the financial services industry since 2002. Steven has passed the Series 7, Series 6, Series 63, and Series 66 exams. Steven was previously registered with J.P. MORGAN SECURITIES LLC, J.P. MORGAN SECURITIES INC., CHASE INVESTMENT SERVICES CORP., BANC ONE SECURITIES CORPORATION, and INVESTORS BROKERAGE SERVICES, INC. Steven has over 10 years of experience working with both Cortland Capital Markets and JP Morgan Chase. Steven is a licensed investment advisor in the state of Indiana and is registered with FINRA.

Firm Information

Steven Morlock 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

600 E 96th St Ste 120

INDIANAPOLIS, IN 46240

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 Morlock’s Registration & Firm History

IN

06/20/2017 - Present

Northwestern Mutual Investment Services, LLC (INDIANAPOLIS IN)

IN

10/08/2008 - 11/09/2016

J.P. MORGAN SECURITIES LLC (INDIANAPOLIS IN)

IL

09/17/2008 - 10/06/2008

J.P. MORGAN SECURITIES INC. (WINNETKA IL)

IL

02/10/2005 - 08/18/2008

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

IL

06/30/2004 - 07/27/2006

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

IL

10/08/2001 - 07/06/2004

INVESTORS BROKERAGE SERVICES, INC. (ELGIN IL)

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Licenses & Designations

BOTH

Issued 11/26/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 6/12/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 8/7/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 1/27/2004

Series 7 - General Securities Representative Examination

BC

Issued 10/5/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Andrew Morlock.
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