Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames M. Farley is a financial professional with over 13 years of experience in the industry. James is registered with Northwestern Mutual Investment Services, LLC in Pittsford, New York. James holds FINRA licenses for Series 6, 7TO, and 63, as well as a Series 65 license. James also has a current registration in 23 states.
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
01/06/2010 - Present
Northwestern Mutual Investment Services, LLC (Pittsford NY)
IA
Issued 02/12/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/08/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/17/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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