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James Alexander Dunn

Northwestern Mutual Investment Services, LLC

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About James Alexander Dunn

James Alexander Dunn is a financial professional with over 11 years of experience in the financial services industry. James has held previous positions at WELLS FARGO CLEARING SERVICES, LLC, FIDELITY BROKERAGE SERVICES LLC, PRUDENTIAL ANNUITIES DISTRIBUTORS, INC, AXA ADVISORS, LLC, MML INVESTORS SERVICES, LLC, and JOHN HANCOCK DISTRIBUTORS LLC. James is currently registered with Northwestern Mutual Investment Services, LLC and is licensed in Connecticut, Florida, New Jersey, and New York. James is a CERTIFIED FINANCIAL PLANNER™ professional and a CHARTERED FINANCIAL CONSULTANT®.

Firm Information

James Dunn 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.

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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.

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fixed fees

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

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other

Referral fees

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James Dunn’s Registration & Firm History

NY

04/29/2021 - Present

Northwestern Mutual Investment Services, LLC (POUGHKEEPSIE NY)

CT

04/30/2019 - 11/10/2020

WELLS FARGO CLEARING SERVICES, LLC (WESTPORT CT)

CT

03/22/2017 - 02/21/2018

FIDELITY BROKERAGE SERVICES LLC (STAMFORD CT)

CT

03/27/2012 - 04/28/2014

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (SHELTON CT)

CT

08/22/2011 - 02/10/2012

AXA ADVISORS, LLC (HAMDEN CT)

NY

09/11/2009 - 08/01/2011

MML INVESTORS SERVICES, LLC (NEW YORK NY)

MA

06/27/2007 - 04/30/2009

JOHN HANCOCK DISTRIBUTORS LLC (BOSTON MA)

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Licenses & Designations

BC

Issued 03/22/2017

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 03/09/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/21/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/21/2008

Series 7 - General Securities Representative Examination

BC

Issued 06/26/2007

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 Alexander Dunn.
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