Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Daffin is a registered representative with Northwestern Mutual Investment Services, LLC. He has been in the securities industry since June 2009. James Daffin holds the following licenses: Series 6, Series 7, Series 63, and Series 66. James Daffin is registered in 31 states. He has been with Northwestern Mutual Investment Services, LLC since October 2008. James Daffin is based in Cincinnati, Ohio.
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
OH
10/20/2011 - Present
Northwestern Mutual Investment Services, LLC (CINCINNATI OH)
BOTH
Issued 10/17/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/31/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/2011
Series 7 - General Securities Representative Examination
BC
Issued 06/01/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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