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James M Carey

Northwestern Mutual Investment Services, LLC

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About James M Carey

James M. Carey is a financial advisor affiliated with Northwestern Mutual Investment Services, LLC. James has been in the industry since 2007. James is registered with both FINRA and the state of Indiana. James is also an investment advisor representative. James's professional experience includes positions with Northwestern Mutual Investment Services, LLC and Mark Wise. James is licensed to offer securities and advisory services in the following states: California, District of Columbia, Florida, Georgia, Idaho, Indiana, Kentucky, Michigan, Minnesota, Missouri, New Jersey, New York, North Carolina, Ohio, Oregon, South Carolina, South Dakota, Tennessee, Texas, Virginia, and Washington.

Firm Information

James Carey 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 Carey’s Registration & Firm History

IN

06/04/2008 - Present

Northwestern Mutual Investment Services, LLC (INDIANAPOLIS IN)

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Licenses & Designations

BOTH

Issued 05/29/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/17/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/10/2008

Series 7 - General Securities Representative Examination

BC

Issued 08/13/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James M Carey.
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