Michelle K. Stevens
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.
Michelle Karen Stevens, who also goes by Michelle Karen Goodman, Michelle Mischon, Michelle Mish, Michelle Karen Mishcon, Mish Mishcon, Michelle Mishconstevens, Michelle Stevens, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1985. Michelle had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2005 - September 7, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 18, 2002 - September 7, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 31, 2001 - March 16, 2001
HAPOALIM SECURITIES USA, INC.
September 16, 1999 - December 31, 2001
HERZOG, HEINE, GEDULD, LLC
April 12, 1999 - September 17, 1999
JWGENESIS SECURITIES, INC.
January 22, 1998 - April 22, 1999
STANFORD GROUP COMPANY
March 14, 1997 - January 2, 1998
MORGAN STANLEY DW INC.
January 21, 1991 - March 5, 1997
PRUDENTIAL EQUITY GROUP, LLC
October 10, 1988 - December 20, 1990
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 7, 1985 - February 10, 1988
HUBERMAN SECURITIES CORP.
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
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
Series 8
Date: 1/8/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
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.
