linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

James Alan Smith

Northwestern Mutual Investment Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you James? Claim Your Profile

About James Alan Smith

James Alan Smith is a financial advisor in Mahomet, Illinois. James has been working in the financial services industry since September 29, 1986. James is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since September 30, 1986. James has also been previously employed at Robert W. Baird & Co. Incorporated. James has passed the Series 6, 7, 63, and 66 exams, and the SIE exam. James provides investment advisory services for Northwestern Mutual Investment Services, LLC in several states. James is also registered with the Financial Industry Regulatory Authority (FINRA).

Firm Information

James Smith is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

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.

check

investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

other

Referral fees

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

James Smith’s Registration & Firm History

IL

09/30/1986 - Present

Northwestern Mutual Investment Services, LLC (MAHOMET IL)

WI

01/10/1989 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

Not sure if James Alan Smith is right for you?

Licenses & Designations

BOTH

Issued 09/23/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/31/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/15/2002

Series 7 - General Securities Representative Examination

BC

Issued 09/29/1986

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Alan Smith.
Not sure if James Alan Smith is right for you?