Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Baird is a financial professional with over 24 years of experience in the financial services industry. James is currently registered with Northwestern Mutual Investment Services, LLC in Oklahoma. Prior to that, James was registered with TD Ameritrade, Inc., Arvest Wealth Management, Cetera Investment Services LLC, J.P. Morgan Securities LLC, Chase Investment Services Corp., TIAA-CREF Individual & Institutional Services, LLC, Fidelity Brokerage Services, Inc. and Fidelity Investments Institutional Services Company, Inc. James holds licenses for Series 6, 7, 63 and 65. James is a Certified Financial Planner™ professional. James also has experience in the education sector, having worked as an adjunct professor for several universities. James is dedicated to providing personalized financial advice and guidance 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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2
OK
02/17/2021 - Present
Northwestern Mutual Investment Services, LLC (OKLAHOMA CITY OK)
OK
02/07/2020 - 01/11/2021
TD AMERITRADE, INC. (Oklahoma City OK)
OK
12/02/2016 - 12/20/2019
ARVEST WEALTH MANAGEMENT (EDMOND OK)
OK
11/01/2012 - 11/30/2016
CETERA INVESTMENT SERVICES LLC (WARR ACRES OK)
OK
10/01/2012 - 11/06/2012
J.P. MORGAN SECURITIES LLC (OKLAHOMA CITY OK)
OK
09/13/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (CHOCTAW OK)
TX
05/12/2000 - 06/18/2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (LAS COLINAS TX)
RI
04/29/1997 - 03/10/2000
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
RI
01/29/1996 - 04/29/1997
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
IA
Issued 09/19/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1997
Series 7 - General Securities Representative Examination
BC
Issued 01/26/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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