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James J Kennedy

Northwestern Mutual Investment Services, LLC

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About James J Kennedy

James J Kennedy is a registered representative with Northwestern Mutual Investment Services, LLC. James has been in the financial industry since 2017. James holds the Series 66, SIE, and Series 7 licenses. James has experience working with a number of firms, including Wells Fargo Clearing Services, LLC, Goldman Sachs & Co. LLC, and Purshe Kaplan Sterling Investments.

Firm Information

James Kennedy 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

1 Northwestern Blvd

Albany, NY 12211

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 Kennedy’s Registration & Firm History

NY

07/03/2024 - Present

Northwestern Mutual Investment Services, LLC (Albany NY)

NY

01/10/2022 - 04/25/2024

PURSHE KAPLAN STERLING INVESTMENTS (ALBANY NY)

NY

01/13/2021 - 10/06/2021

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (Albany NY)

NY

07/11/2018 - 11/13/2020

WELLS FARGO CLEARING SERVICES, LLC (ALBANY NY)

NY

10/06/2016 - 03/07/2018

GOLDMAN SACHS & CO. LLC (LATHAM NY)

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Licenses & Designations

BOTH

Issued 11/21/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/6/2016

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James J Kennedy.
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