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Steven Lee Smallidge

Northwestern Mutual Investment Services, LLC

Mendota Hts, MN

Eagan, MN

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Current Employers
Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APP_PEND_IARCE 2026-01-01
  • MN RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

1191 Northland Dr Ste 150, Mendota Hts, MN 55120 • United States

Eagan, MN • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Timothy Bohannon Mendota Heights MN 05/2014 05/2018
Northwestern Mutual Investment Services Llc Mendota Heights MN 05/2014 Present
B J Hellyer Mendota Htgs MN 06/2018 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-08
S65 Uniform Investment Adviser Law Examination 1999-11-15
S63 Uniform Securities Agent State Law Examination 1997-11-17
  • S66 Uniform Combined State Law Examination
    2014-09-08
  • S65 Uniform Investment Adviser Law Examination
    1999-11-15
  • S63 Uniform Securities Agent State Law Examination
    1997-11-17

View on SEC IAPD

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OSAIC WEALTH, INC.
COMMONWEALTH FINANCIAL NETWORK
CASTLE ROCK FINANCIAL PLANNING, INC.
AVANTAX PLANNING PARTNERS, INC.

Other Investors

BLAINE ROBERT JOERGER
MICHAEL B HOFFMAN
Benjamin Uphoff
Jeremy Scott Babcock
Rebecca Ann Anderson
MICHAEL MERLE ERPELDING
MATTHEW PAUL ANAGNOSTOU
BARRY JAMES HELLYER

Other Offices

FOUNDATIONS INVESTMENT ADVISORS LLC · MENDOTA HEIGHTS, MN
CETERA INVESTMENT ADVISERS LLC · MENDOTA HEIGHTS, MN
LPL FINANCIAL LLC · MENDOTA HEIGHTS, MN
EDWARD JONES · Eagan, MN
OSAIC WEALTH, INC. · Eagan, MN
COMMONWEALTH FINANCIAL NETWORK · Mendota Heights, MN
CASTLE ROCK FINANCIAL PLANNING, INC. · MENDOTA HEIGHTS, MN
AVANTAX PLANNING PARTNERS, INC. · Eagan, MN

More in Mendota Hts, MN

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