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Stephen T Straw

Northwestern Mutual Investment Services, LLC

New York, NY

Tampa, FL

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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-01-04
NJ RA APPROVED 2020-09-30
  • FL RA
    APPROVED
    Since 2021-01-04
  • NJ RA
    APPROVED
    Since 2020-09-30

Branch Locations

875 3Rd Ave Fl 23, New York, NY 10022 • United States

Tampa, FL • 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
Signator Investors, Inc. St. Petersburg FL 05/2016 10/2017
Folio Investments, Inc. Mclean VA 11/2017 05/2019
Orion Advisor Solutions Omaha NE 06/2019 01/2020
Unemployed Tampa FL 02/2020 08/2020
Sarah M Lucas Stein New York NY 09/2020 Present
Kevin M Stein New York NY 09/2020 Present
Northwestern Mutual Investment Services, Llc New York NY 09/2020 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 09/2021 Present
  • 05/2016 → 10/2017
    Signator Investors, Inc.
    St. Petersburg, FL
  • 11/2017 → 05/2019
    Folio Investments, Inc.
    Mclean, VA
  • 06/2019 → 01/2020
    Orion Advisor Solutions
    Omaha, NE
  • 02/2020 → 08/2020
    Unemployed
    Tampa, FL
  • 09/2020 → Present
    Sarah M Lucas Stein
    New York, NY
  • 09/2020 → Present
    Kevin M Stein
    New York, NY
  • 09/2020 → Present
    Northwestern Mutual Investment Services, Llc
    New York, NY
  • 09/2021 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
  • 2020-01-23 → 2020-01-27
    Orion Portfolio Solutions, Llc
    Tampa, FL
    Omaha, NE
  • 2019-07-11 → 2019-12-31
    Orion Portfolio Solutions, Llc
    Omaha, NE
    Tampa, FL
  • 2016-05-13 → 2017-11-27
    Signator Investors, Inc.
    St. Petersburg, FL
  • 2009-09-04 → 2016-05-13
    Transamerica Financial Advisors, Llc
    Philadelphia, PA
    Los Angeles, CA
    St. Petersburg, FL
  • 2006-07-19 → 2009-09-04
    Transamerica Financial Advisors, Inc.
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
  • 2006-04-21 → 2006-06-16
    Zacks Investment Management, Inc.
    Chicago, IL
  • 1999-01-25 → 2006-01-11
    Charles Schwab & Co., Inc.
    Pasadena, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-24
S63 Uniform Securities Agent State Law Examination 1994-01-13
  • S65 Uniform Investment Adviser Law Examination
    1998-11-24
  • S63 Uniform Securities Agent State Law Examination
    1994-01-13
Designations
Other Names
  • Steve Straw
  • Stephen Troy Straw
  • Stephen T Straw
  • Steve Straw

View on SEC IAPD

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