Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elliot? Claim Your ProfileElliot James is a financial professional registered in California. Elliot is a registered representative with Northwestern Mutual Investment Services, LLC and holds the Series 7TO, Series 6TO and SIE licenses. Elliot is a new advisor with less than one year of experience in the industry.
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
1
2
CA
05/17/2023 - Present
Northwestern Mutual Investment Services, LLC (SAN DIEGO CA)
BC
Issued 06/09/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/14/2023
Series 7TO - General Securities Representative Examination
BC
Issued 05/16/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 04/19/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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