Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Randolph is a financial advisor at Northwestern Mutual Investment Services, LLC and has over 35 years of experience in the financial services industry. He is registered with FINRA and holds Series 6, 22, and 63 licenses along with the SIE. In addition to Northwestern Mutual Investment Services, LLC, James Randolph has held previous positions at ROBERT W. BAIRD & CO. INCORPORATED and CONSOLIDATED RESOURCES, INC.. James Randolph is licensed to provide investment advice in Arizona, Iowa, Wisconsin, and Wyoming.
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
01/05/1987 - Present
Northwestern Mutual Investment Services, LLC (Cedar Rapids IA)
WI
09/17/1999 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NA
05/28/1985 - 01/21/1987
CONSOLIDATED RESOURCES, INC.
BC
Issued 05/23/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/1985
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 05/23/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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