Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid A. James is a financial advisor with Northwestern Mutual Investment Services, LLC. David is licensed to provide investment advice in 14 states. David specializes in working with insurance companies and banking or thrift institutions. David has been a registered representative since April 2022. David's office is located in Houston, Texas, at 1250 Wood Branch Park Dr, Suite 600.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Investment research; referrals to other advisers
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Referral fees
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TX
04/11/2022 - Present
Northwestern Mutual Investment Services, LLC (Houston TX)
BC
Issued 05/20/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/11/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 03/18/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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