linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

James Edwin Whistler

Northwestern Mutual Investment Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you James? Claim Your Profile

About James Edwin Whistler

James Edwin Whistler is a financial advisor currently associated with Northwestern Mutual Investment Services, LLC. James began his career in the financial services industry in 1971. James is registered with FINRA and has a valid Series 7, 9, 10, 63, and 65 licenses. James has been in the financial services industry for over 50 years and has experience working with clients in Alabama, California, Delaware, Iowa, Minnesota, Oregon and Washington.

Firm Information

James Whistler 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.

check

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

other

Referral fees

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

James Whistler’s Registration & Firm History

CA

05/05/1975 - Present

Northwestern Mutual Investment Services, LLC (SAN DIEGO CA)

WI

07/25/1985 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

NA

10/01/1971 - 12/24/1973

NA

09/01/1971 - 10/18/1971

INTEGRATED RESOURCES EQUITY CORPORATION

Not sure if James Edwin Whistler is right for you?

Licenses & Designations

IA

Issued 12/02/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/18/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/14/1986

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/28/1971

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for James Edwin Whistler. Review regulatory record here.
Not sure if James Edwin Whistler is right for you?