Home  >  BrightScope Advisor Pages  >  Stephanie Marie Morey

Information

Other Names: Stephanie Marie Matz
Firm:
Type: Dual Registration
Description

Stephanie Morey is a financial professional at Northwestern Mutual Investment Services,LLC, a broker-dealer with over 8,800 registered representatives nationwide. Stephanie has held an industry securities registration for 3 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Stephanie Marie Morey has not answered any questions on Financial Q&A.

Top Guides

Stephanie Marie Morey has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Meaghan Elliott Photography 2 years, 1 month Mar 2012 - Present
Northwestern Mutual Investment Services,LLC 2 years, 2 months Feb 2012 - Present
John Bongiovanni 2 years, 2 months Feb 2012 - Present
John Bongiovanni 4 months Oct 2011 - Feb 2012
Inland Investment Advisors 4 years, 7 months Mar 2007 - Oct 2011
Ncc & Associates 3 years, 9 months Jun 2003 - Mar 2007
The Waterfront 1 year Jun 2002 - Jun 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 07/19/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
07/19/2012
10/26/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 11/18/2009
General Securities Representative Examination Series 7 06/09/2009

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Other: REFERRAL FEES