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Steven John Zimmerman

Morgan Stanley

Lake Forest, IL

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-09-21
IL RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2018-09-21
  • IL RA
    APPROVED
    Since 2009-06-01

Branch Locations

207 East Westminster Suite 300, Lake Forest, IL 60045 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Lake Forest IL 06/2009 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney Llc
    Lake Forest, IL
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Lake Forest, IL
  • 2007-03-23 → 2007-04-02
    Morgan Stanley Dw Inc.
    Lake Forest, IL
    Purchase, NY
  • 2005-12-14 → 2007-03-28
    Bmo Harris Financial Advisors, Inc.
    Lake Forest, IL
    Roselle, IL
  • 2003-04-14 → 2005-12-31
    Harrisdirect Llc
    Lake Forest, IL
  • 1998-12-14 → 2003-04-14
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Northbrook, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-09-04
  • S66 Uniform Combined State Law Examination
    1998-09-04
Other Names
  • Zimmerman Steven John
  • Steven J Zimmerman
  • Steve Zimmerman

View on SEC IAPD

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NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
OBAR WEALTH MANAGEMENT LLC
EDWARD JONES

Other Investors

Allison Marie Ockwood
Kevin G. Rieger
Tommy Pirvu
Nicole Teresa Simmons
DUSTIN L WHITE
Michael John Brady
Samantha Pelligrino McGuire
CAROL H. BUSS

Other Offices

J.P. MORGAN SECURITIES LLC · LAKE FOREST, IL
BUSS CAPITAL MANAGEMENT, LLC · LAKE FOREST, IL
ISTO ADVISORS, LLC · Lake Forest, IL
MOWERY & SCHOENFELD WEALTH MANAGEMENT, LLC · Lake Forest, IL
ROUNDTABLE HEALTHCARE MANAGEMENT, INC · LAKE FOREST, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Lake Forest, IL
OBAR WEALTH MANAGEMENT LLC · LAKE FOREST, IL
EDWARD JONES · LAKE FOREST, IL

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