Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames D. Sawtelle is a registered investment advisor representative at Northwestern Mutual Investment Services, LLC. James has been in the industry since May 2004 and is licensed to provide financial and investment advice in several states. James holds Series 6, 7, 63, and 66 securities licenses and has been with Northwestern Mutual since 2004.
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
VT
10/01/2007 - Present
Northwestern Mutual Investment Services, LLC (BENNINGTON VT)
BOTH
Issued 08/13/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/10/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/2005
Series 7 - General Securities Representative Examination
BC
Issued 05/27/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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