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Steven Lee Smallidge

Northwestern Mutual Investment Services, LLC

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About Steven Lee Smallidge

Steven Smallidge is a financial advisor with Northwestern Mutual Investment Services, LLC. Steven is a registered representative and investment advisor representative with over 25 years of experience in the financial industry. Steven is registered with the state of Minnesota. Steven provides services including investment research and referrals to other advisors. Steven is also a Series 10, Series 9, Series 24, Series 26, and Series 66 licensed professional.

Firm Information

Steven Smallidge 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

1191 NORTHLAND DR

MENDOTA HTS, MN 55120

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 Smallidge’s Registration & Firm History

MN

09/09/2014 - Present

Northwestern Mutual Investment Services, LLC (MENDOTA HTS MN)

MN

08/22/1997 - 06/13/2013

WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)

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Licenses & Designations

BOTH

Issued 9/8/2014

Series 66 - Uniform Combined State Law Examination

IA

Issued 11/15/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/17/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 7/3/2014

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 6/21/2014

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/14/2000

Series 24 - General Securities Principal Examination

BC

Issued 7/10/1998

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/17/2000

Series 7 - General Securities Representative Examination

BC

Issued 8/21/1997

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 Lee Smallidge.
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