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Stephen Nitti

40 Years of Experience
Florham Park, NJ
1 DisclosureBrokerSells Insurance

Stephen Nitti is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Florham Park, NJ, with 40 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.

Compensation
Fixed/Hourly
Firm Size
2117 advisors
Number of Clients
1 client
Average Client Portfolio
Not specified

Fee Structure

Investment management only (planning not offered)

NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.

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Location

500 Campus Dr Ste 300, Florham Park, NJ, 07932

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2010
Settled
Other Business ActivitiesSells Insurance

Stephen may earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity, and/or disability income insurance products.

Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
September 2007 - Present · 18 yrs 8 mos
Northwestern Mutual Investment Services, LLCBroker
May 1985 - Present · 41 yrs
Previous Registrations
Northwestern Mutual Wealth Management Company
May 2004 - April 2007 · 2 yrs 11 mos
Robert W. Baird & CO. IncorporatedBroker
April 1985 - January 2002 · 16 yrs 9 mos
State Registrations22 states
AZCACOCTDEFLILKSKYMAMDMIMTNCNJNVNYOKPASCTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.