Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames John Bufalo is a financial advisor with Northwestern Mutual Investment Services, LLC in Goshen, New York. James has been working in the financial services industry since September 25, 1986. He holds the Series 7, Series 63, and Series 66 licenses, as well as the Securities Industry Essentials (SIE) exam. James is registered to provide investment advice in 17 states. James has a strong commitment to providing personalized financial advice to clients.
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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NY
02/06/1987 - Present
Northwestern Mutual Investment Services, LLC (Goshen NY)
WI
09/26/1986 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BOTH
Issued 08/21/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/30/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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