Steven Alan Tennant

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/1996 → 09/2025
  Norhtwestern Mutual Life Ins. Co.
  Milwaukee, WI
• 08/1996 → 09/2025
  Northwestern Mutual Investment Services, Llc
  Latham, NY
• 05/2007 → 09/2025
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 09/2025 → Present
  Lpl Financial
  Ballston Lake, NY

Previous Registrations

• 2007-11-16 → 2025-09-15
  Northwestern Mutual Investment Services, Llc
  Latham, NY
  Ballston Lake, NY
  Albany, NY

Other Businesses

07/01/25 - Tennant Financial - DBA for LPL Business (entity for LPL business) Investment Related - Ballston Lake, NY 12019 - OBA Start Date 10/15/2010 - Hours Per Month 160 - Time Spent 5 07/01/25 - TBW Holdings, LLC - Business Entity For Tax/Investment Purposes Only - Not Invesment Related - Ballston Lake, NY 12019 - OBA Start Date 01/01/2024 - Hours Per Month 120 - Time Spent 95 09/03/25 - Tennant Financial - Non-Variable Insurance - Investment Related - Ballston Lake, NY 12019 - OBA Start Date 09/15/2025 - Hours Per Month 4 - Time Spent 1

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-09
• S63 Uniform Securities Agent State Law Examination
  1996-10-28

Designations

• Certified Financial Planner