Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Howard Potter is a registered representative with Northwestern Mutual Investment Services, LLC. James has been in the securities industry since 1991 and has a wide range of experience in the financial services field. James holds the Series 6, Series 7 and Series 63 licenses. James is registered in Wisconsin. Previously, James was associated with Fortis Investors, Inc., Secura Investments, Inc., and G.R. Phelps & Co., Inc.
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
WI
10/17/1997 - Present
Northwestern Mutual Investment Services, LLC (Milwaukee WI)
MN
01/02/1997 - 09/30/1997
FORTIS INVESTORS, INC. (OAKDALE MN)
WI
04/03/1995 - 12/30/1996
SECURA INVESTMENTS, INC. (APPLETON WI)
NA
04/05/1991 - 03/20/1995
G. R. PHELPS & CO., INC.
BC
Issued 12/02/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2002
Series 7 - General Securities Representative Examination
BC
Issued 04/02/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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