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Steven Lee Hale

Northwestern Mutual Investment Services, LLC

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About Steven Lee Hale

Steven Hale is a financial advisor with Northwestern Mutual Investment Services, LLC. Steven has been in the industry since February 1996, and is registered as a Registered Representative (RA) in Georgia. Steven holds Series 6, 7, 63, and 66 licenses, and the Securities Industry Essentials (SIE) exam. Prior to joining Northwestern Mutual, Steven was employed by Walnut Street Securities, Inc. and Nathan & Lewis Securities, Inc.. Steven's office is located in Peachtree Cty, GA. Steven is a Certified Financial Planner (CFP) and has a variety of other business activities outside of his role with Northwestern Mutual, which include owning rental properties, a legal entity, and overseeing the maintenance of their current office location.

Firm Information

Steven Hale 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 Hale’s Registration & Firm History

GA

02/22/2006 - Present

Northwestern Mutual Investment Services, LLC (Peachtree Cty GA)

CA

08/01/2003 - 12/31/2003

WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)

NY

03/22/2000 - 08/01/2003

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

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Licenses & Designations

BOTH

Issued 09/29/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/28/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/21/2006

Series 7 - General Securities Representative Examination

BC

Issued 02/01/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Steven Lee Hale. Review regulatory record here.
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