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Steven Mcnair Thagard

Northwestern Mutual Investment Services, LLC

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About Steven Mcnair Thagard

Steven Mcnair Thagard is a financial professional with over 40 years of experience in the industry. Steven is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since March 2011. Steven has a broad range of experience, having previously worked with Robert W. Baird & Co. Incorporated and First Capital Investment Corporation.

Firm Information

Steven Thagard 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

1000 LEGION PL STE 1400

ORLANDO, FL 32801

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 Thagard’s Registration & Firm History

FL

10/31/2002 - Present

Northwestern Mutual Investment Services, LLC (ORLANDO FL)

WI

04/30/1990 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

NA

12/18/1981 - 09/11/1989

FIRST CAPITAL INVESTMENT CORPORATION

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Licenses & Designations

IA

Issued 12/27/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 6/10/1982

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/22/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/12/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 7/28/1983

Series 39 - Direct Participation Programs Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 2/18/1984

Series 7 - General Securities Representative Examination

BC

Issued 12/14/1981

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Mcnair Thagard.
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