Steven Martin Moats

Employer firm

Newedge Advisors CRD 171351

$43.2B regulatory AUM 122 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2003 → 08/2025
  Northwestern Mutual Life Insurance Co
  Milwaukee, WI
• 11/2003 → 08/2025
  Northwestern Mutual Investment Services Llc
  Denver, CO
• 07/2012 → 08/2025
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 08/2025 → Present
  Newedge Securities Llc
  Pittsburgh, PA
• 08/2025 → Present
  Newedge Advisors
  New Orleans, LA

Previous Registrations

• 2007-10-23 → 2025-09-09
  Northwestern Mutual Investment Services, Llc
  Denver, CO
  Denver, CO

Other Businesses

1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES, OR INSURANCE BROKERAGE AGENCIES, NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, MEDICARE, ANNUITY, DISABILITY AND/ OR LONG TERM CARE INSURANCE PRODUCTS, NON INVESTMENT RELATED 2. 100% Owner, 22 W BARON WAY, SILVERTHORNE, , COLORADO, 80498, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 11/05/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, OWNER - VACATION HOME/RENTAL PROPERTY 40%

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-02-27
• S66 Uniform Combined State Law Examination
  2007-09-10
• S63 Uniform Securities Agent State Law Examination
  2003-12-20

Other Names

• Steven M Moats