advisors

Stephen A. Schwartz CFP®, AEP®, Partner Pioneer Financial at Northwestern Mutual – Park Avenue

245 Park Avenue, Suite 1800
New York, NY 10167

stephen.schwartz@nm.com pioneerfinancial.nm.com 646.459.6366

Stephen A. Schwartz, CFP®, AEP®, Partner, began his career in financial planning in 1999. Mr. Schwartz is a Wealth Management Advisor with Northwestern Mutual Wealth Management Company and a founding member of Pioneer Financial. He is an Insurance Agent with Northwestern Mutual and a Registered Representative of Northwestern Mutual Investment Services, LLC maintaining securities Series 6, 7, 63 and 66 registrations and his Life, Accident & Health Insurance license. He is a CERTIFIED FINANCIAL PLANNER™ professional having earned his certification in 2005 and in 2015 he earned his ACCREDITED ESTATE PLANNER™ designation. Mr. Schwartz graduated from Quinnipiac University where he earned a Bachelor of Science in Economics. He resides in Manhattan, NY.

At a Glance

Minimum Fee for Initial Meeting

None required

Minimum Net Worth Requirement

$1 million

Compensation Method

Asset-based fees and commissions (investment and insurance products)

Primary Custodian for Investor Assets:

Accounts held at Northwestern Mutual Investment Services LLC, an introducing broker-dealer, member FINRA, SIPC. Accounts carried, and all transactions executed, cleared and settled through Pershing, A BNY Mellon Company, member FINRA, NYSE and SIPC.

Financial Services Experience

18 years

Assets Under Management $1+ billion (as of 3/01/2017)
professional services provided
  • Financial planning
  • investment advisory
  • risk management and money management services

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