Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Franklin Stevens is a financial advisor at Northwestern Mutual Investment Services, LLC. James has been in the financial services industry since 1995 and is licensed in 22 states. He is also licensed to sell securities in Alabama, Arizona, Arkansas, California, Colorado, Georgia, Hawaii, Illinois, Kansas, Maryland, Massachusetts, Michigan, Missouri, New Mexico, New York, Ohio, Oklahoma, Oregon, Pennsylvania, Tennessee, Texas and Wisconsin. He holds the Series 6 and Series 63 licenses and the Securities Industry Essentials Examination (SIE). James has worked at Robert W. Baird & Co. Incorporated in the past.
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
10/16/1995 - Present
Northwestern Mutual Investment Services, LLC (DALLAS TX)
WI
06/29/1999 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BC
Issued 12/08/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/13/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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