Stephen C Norris

Employer firm

Northwestern Mutual Investment Services, LLC CRD 2881

1 advisory clients

Reported services (Item 5G)

INVESTMENT RESEARCH; REFERRALS TO OTHER ADVISERS

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

Current Employers

Northwestern Mutual Investment Services, Llc

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

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2025-01-01

WI RA
APPROVED

Since 2025-01-01

Branch Locations

720 E Wisconsin Ave, Milwaukee, WI 53202 • United States

Denver, CO • 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

Organization	City	State	From	To
Consolidated Planning	Charlotte	SC	06/2008	12/2019
Park Avenue Securities	Charlotte	NC	07/2009	12/2019
Northwestern Mutual Investment Services, Llc	Milwaukee	WI	08/2021	Present
Northwestern Mutual Life Insurance Company	Milwaukee	WI	05/2021	Present
Unemployed	Charlotte	NC	01/2020	04/2021

06/2008 → 12/2019

Consolidated Planning

Charlotte, SC
07/2009 → 12/2019

Park Avenue Securities

Charlotte, NC
08/2021 → Present

Northwestern Mutual Investment Services, Llc

Milwaukee, WI
05/2021 → Present

Northwestern Mutual Life Insurance Company

Milwaukee, WI
01/2020 → 04/2021

Unemployed

Charlotte, NC

Previous Registrations

2010-01-19 → 2019-12-31

Park Avenue Securities Llc

Charlotte, NC

Charlotte, NC

Other Businesses

100% OWNER, 530 N POPLAR ST UNIT E, 530 N POPLAR ST UNIT E, CHARLOTTE, , NORTH CAROLINA, 80211, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 11/24/2021, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, FINDING TENANTS, LISTING PROPERTY, MAINTENANCE

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-10-06

S66 Uniform Combined State Law Examination

2009-10-06

View on SEC IAPD