advisors

Stephen A. Schwartz CFP®, AEP®, Partner Pioneer Financial at Northwestern Mutual, LLC

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

  • 245 Park Avenue, Suite 1800
    New York, NY 10167

  • 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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