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Susan M Stephenson

Northwestern Mutual Investment Services, LLC

W Des Moines, IA

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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2015-08-12
  • IA RA
    APPROVED
    Since 2015-08-12

Branch Locations

1245 Jordan Creek Pkwy Suite 200, W Des Moines, IA 50266 • 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
Keith Erhard Des Moines IA 07/2015 Present
Northwestern Mutual Investment Services Llc Des Moines IA 07/2015 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-05
S63 Uniform Securities Agent State Law Examination 1999-03-05
  • S66 Uniform Combined State Law Examination
    2014-09-05
  • S63 Uniform Securities Agent State Law Examination
    1999-03-05
Other Names
  • Susie Stephenson
  • Sue Stephenson
  • Sue M Stephenson
  • Susan Marie Stephenson

View on SEC IAPD

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