Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Susan? Claim Your ProfileSusan Stephenson is a financial advisor with Northwestern Mutual Investment Services, LLC in W Des Moines, IA. Susan has been in the financial services industry since 1996. Susan is licensed in 51 states and the District of Columbia. Prior to joining Northwestern Mutual, Susan worked at Wells Fargo Advisors, LLC and Cetera Financial Specialists LLC.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
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2
IA
08/12/2015 - Present
Northwestern Mutual Investment Services, LLC (W Des Moines IA)
IA
06/12/2014 - 06/08/2015
WELLS FARGO ADVISORS, LLC (WEST DES MOINES IA)
IA
05/11/2012 - 03/06/2014
CETERA FINANCIAL SPECIALISTS LLC (W DES MOINES IA)
IA
09/11/2007 - 03/06/2014
CETERA ADVISOR NETWORKS LLC (WEST DES MOINES IA)
IA
09/11/2007 - 03/06/2014
CETERA ADVISORS LLC (WEST DES MOINES IA)
IA
04/17/2007 - 02/01/2010
ING FINANCIAL PARTNERS, INC. (DES MOINES IA)
CA
11/07/2001 - 08/26/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
MN
01/28/1999 - 11/30/2001
BRENTON INVESTMENTS, INC. (PLYMOUTH MN)
IA
09/26/1996 - 01/04/1999
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
BOTH
Issued 09/05/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/05/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/29/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/29/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/08/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/1999
Series 7 - General Securities Representative Examination
BC
Issued 09/25/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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