Stephen M. French
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Marchand French, who also goes by Steve French, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1981. Stephen had worked at 3 firms and has passed the Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2015 - November 14, 2025
FRENCH FINANCIAL SERVICES
September 29, 1987 - April 19, 1996
ROBERT W. BAIRD & CO. INCORPORATED
September 25, 1981 - May 21, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FRENCH FINANCIAL SERVICES
CRD#: 173540 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 79,400 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
