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Steven Ray Gardiner

Northwestern Mutual Investment Services, LLC

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About Steven Ray Gardiner

Steven Gardiner has been a financial professional since 1991. Steven is a registered representative with Northwestern Mutual Investment Services, LLC and has offices in Whitefish Bay, WI. Prior to his current position, Steven was affiliated with ROBERT W. BAIRD & CO. INCORPORATED. Steven is licensed to provide investment advice in the state of Wisconsin, and is currently registered as an Investment Advisor Representative (IAR) with the state of North Carolina. Steven has earned a Series 63 license for the state of Wisconsin, as well as Series 6, 7, and 65 licenses, and the SIE exam.

Firm Information

Steven Gardiner 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 Gardiner’s Registration & Firm History

WI

02/20/1991 - Present

Northwestern Mutual Investment Services, LLC (Whitefish Bay WI)

WI

03/06/1997 - 01/01/2002

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

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Licenses & Designations

IA

Issued 05/21/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/21/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/05/2006

Series 7 - General Securities Representative Examination

BC

Issued 02/14/1991

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 Ray Gardiner.
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