Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Andrew Walters is a licensed investment advisor representative with Northwestern Mutual Investment Services, LLC, in Coralville, Iowa. James Walters has been in the securities industry since 2014. James Walters holds Series 6, Series 63, and SIE licenses and is registered in the state of Iowa.
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
IA
11/10/2015 - Present
Northwestern Mutual Investment Services, LLC (CORALVILLE IA)
IA
05/30/2014 - 04/13/2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CORALVILLE IA)
BC
Issued 02/19/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/29/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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