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Steven J Lynch

Northwestern Mutual Investment Services, LLC

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About Steven J Lynch

Steven J Lynch is a financial professional with over 20 years of experience in the industry. Steven is currently registered with Northwestern Mutual Investment Services, LLC. Steven specializes in providing financial advice to clients in a variety of areas, including investment management, retirement planning, and insurance. Steven holds a Series 7, Series 31, and Series 63 license, and is a registered representative of Northwestern Mutual Investment Services, LLC. Steven is committed to helping clients achieve their financial goals through a personalized approach.

Firm Information

Steven Lynch 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

4323 Ontario Dr

Bettendorf, IA 52722

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 Lynch’s Registration & Firm History

IA

02/22/2017 - Present

Northwestern Mutual Investment Services, LLC (Bettendorf IA)

ND

11/11/2013 - 01/09/2017

INVESTMENT CENTERS OF AMERICA, INC. (BISMARCK ND)

IL

03/09/2009 - 11/12/2013

CETERA FINANCIAL SPECIALISTS LLC (EAST MOLINE IL)

IL

06/13/2003 - 01/30/2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MOLINE IL)

IA

11/06/2002 - 03/11/2003

BEYER & COMPANY (DAVENPORT IA)

NJ

09/01/2000 - 01/28/2002

UBS PAINEWEBBER INC. (WEEHAWKEN NJ)

NY

08/12/1998 - 09/06/2000

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 8/31/1998

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 8/25/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 8/31/1998

Series 31 - Futures Managed Funds Examination

BC

Issued 8/10/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Steven J Lynch. Review regulatory record here.
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