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James Humpherson mollett

Northwestern Mutual Investment Services, LLC

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About James Humpherson mollett

James Humpherson Mollett is a financial professional with over 20 years of experience in the industry. James is currently registered with Northwestern Mutual Investment Services, LLC and is located in Schaumburg, Illinois. Prior to joining Northwestern Mutual, James was employed at Thornburg Securities LLC in Santa Fe, New Mexico. James holds a variety of licenses including Series 7, 66, and 26. James also has experience with American Funds Distributors, Inc., American Century Investment Services Inc., American Century Brokerage, Inc., and AXA Advisors, LLC.

Firm Information

James Humpherson mollett is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

1475 E WOODFIELD RD

SCHAUMBURG, IL 60173

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.

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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.

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fixed fees

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

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other

Referral fees

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James Humpherson mollett’s Registration & Firm History

IL

06/14/2024 - Present

Northwestern Mutual Investment Services, LLC (SCHAUMBURG IL)

NM

02/21/2020 - 04/25/2024

THORNBURG SECURITIES LLC (SANTA FE NM)

CA

01/24/2014 - 08/05/2019

AMERICAN FUNDS DISTRIBUTORS, INC. (LOS ANGELES CA)

MO

12/07/2009 - 01/24/2014

AMERICAN CENTURY INVESTMENT SERVICES INC. (KANSAS CITY MO)

MO

09/09/2008 - 12/03/2009

AMERICAN CENTURY BROKERAGE, INC. (KANSAS CITY MO)

MO

04/30/2008 - 09/09/2008

AMERICAN CENTURY INVESTMENT SERVICES INC. (KANSAS CITY MO)

KS

01/28/2004 - 03/19/2008

AXA ADVISORS, LLC (OVERLAND PARK KS)

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Licenses & Designations

IA

Issued 5/3/2014

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 1/10/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/28/2015

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 1/27/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for James Humpherson mollett. Review regulatory record here.
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