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James Christiaan Carroll

Northwestern Mutual Investment Services, LLC

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About James Christiaan Carroll

James Christiaan Carroll is a financial advisor with over 15 years of experience in the industry. James is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since August 2007. James is also registered with the state of Texas as an investment advisor representative. James has a strong background in financial planning and investment management. James holds Series 6, 7, and 63 licenses, as well as the SIE exam. James has a strong commitment to helping clients achieve their financial goals. James is dedicated to providing clients with personalized financial advice and investment strategies that are tailored to their individual needs.

Firm Information

James Carroll is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

1 RIVERWAY STE 900

HOUSTON, TX 77056

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 Carroll’s Registration & Firm History

TX

04/24/2008 - Present

Northwestern Mutual Investment Services, LLC (HOUSTON TX)

TX

03/18/1996 - 07/31/1996

A I M DISTRIBUTORS, INC. (HOUSTON TX)

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Licenses & Designations

BC

Issued 1/18/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 9/22/2016

Series 7 - General Securities Representative Examination

BC

Issued 1/11/2008

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 Christiaan Carroll.
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