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James Buckley

Northwestern Mutual Investment Services, LLC

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About James Buckley

James Buckley is an investment advisor representative with Northwestern Mutual Investment Services, LLC. James is registered with FINRA and is licensed in 31 states. James' current registrations are for broker-dealer (BC) and investment advisor (IA). James has been in the securities industry since 2010.

Firm Information

James Buckley 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 Buckley’s Registration & Firm History

NH

12/11/2017 - Present

Northwestern Mutual Investment Services, LLC (Manchester NH)

NH

02/17/2014 - 12/22/2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MANCHESTER NH)

TN

03/21/2012 - 10/31/2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MEMPHIS TN)

NH

03/29/2010 - 01/30/2012

FIDELITY BROKERAGE SERVICES LLC (MERRIMACK NH)

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Licenses & Designations

BOTH

Issued 01/10/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/02/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/26/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Buckley.
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