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James Leroy Henneman

Northwestern Mutual Investment Services, LLC

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About James Leroy Henneman

James Leroy Henneman is a financial advisor with Northwestern Mutual Investment Services, LLC. James has been in the financial services industry since 1994 and has been with Northwestern Mutual Investment Services, LLC since 2002. He is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 6, 63, 26, and 12 licenses. James is also a registered investment advisor in Arizona, California, Florida, Illinois, Indiana, Kentucky, Utah, and Wisconsin. James Leroy Henneman is dedicated to helping his clients achieve their financial goals.

Firm Information

James Henneman is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

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 Henneman’s Registration & Firm History

IL

01/26/1994 - Present

Northwestern Mutual Investment Services, LLC (Naperville IL)

WI

01/26/1994 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

IA

Issued 12/23/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/29/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/13/2006

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 06/12/1997

Series 12 - NYSE Branch Manager Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/25/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for James Leroy Henneman. Review regulatory record here.
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