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Stephen E Colby

Northwestern Mutual Investment Services, LLC

Greenfield, MA

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Current Employers
Northwestern Mutual Investment Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2017-06-14
  • MA RA
    APPROVED
    Since 2017-06-14

Branch Locations

238 Main St Ste 2, Greenfield, MA 01301 • 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
Massachusetts Mutual Life Insurance Co Springfield MA 05/2010 11/2016
Merrill Joseph Gagne Greenfield MA 01/2017 Present
Northwestern Mutual Investment Services Llc Greenfield MA 01/2017 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 06/2017 Present
  • 05/2010 → 11/2016
    Massachusetts Mutual Life Insurance Co
    Springfield, MA
  • 01/2017 → Present
    Merrill Joseph Gagne
    Greenfield, MA
  • 01/2017 → Present
    Northwestern Mutual Investment Services Llc
    Greenfield, MA
  • 06/2017 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-08
  • S66 Uniform Combined State Law Examination
    2017-05-08
Other Names
  • Stephen E Colby
  • Steve Colby
  • Stephen Emil Colby

View on SEC IAPD

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