Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Daly is a financial advisor with over 40 years of experience in the financial services industry. James joined Northwestern Mutual Investment Services, LLC in 2006 and has served clients in Norwich, Connecticut. James also has previous experience working with Robert W. Baird & Co. Incorporated. James Daly is a Series 6 and Series 63 licensed advisor, holding FINRA registrations for Florida, New Hampshire, New York, North Carolina, Rhode Island and Virginia.
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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CT
06/30/1983 - Present
Northwestern Mutual Investment Services, LLC (NORWICH CT)
WI
05/16/1984 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BC
Issued 11/03/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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