Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames E. Baker is a registered investment advisor representative with Northwestern Mutual Investment Services, LLC. James has been in the financial services industry since April 2000. James holds the Series 6, Series 63, and Series 65 licenses. James earned a state exam for the Uniform Securities Agent State Law Examination (Series 63) on March 10, 2000. The individual also earned a state exam for the Uniform Investment Adviser Law Examination (Series 65) on January 7, 2011. The individual's primary place of business is located in Amarillo, TX. James is registered with the state of Colorado, New Mexico and Texas.
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
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TX
01/10/2011 - Present
Northwestern Mutual Investment Services, LLC (AMARILLO TX)
WI
04/04/2000 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 01/07/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/10/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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