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James M Hazelton

Northwestern Mutual Investment Services, LLC

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About James M Hazelton

James Hazelton is a financial advisor who has been in the industry since February 3, 2005. James is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since October 30, 2012. Prior to that, James was registered with RBC DAIN RAUSCHER INC. from March 9, 2002, to October 2, 2002, and Tucker Anthony Incorporated from May 6, 1998, to March 9, 2002. James is also registered with CIBC Oppenheimer Corp. James holds licenses for Series 6, 7, 63, 65 and SIE exams. James provides a range of services including investment research and referrals to other advisors.

Firm Information

James Hazelton 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 Hazelton’s Registration & Firm History

CA

10/30/2012 - Present

Northwestern Mutual Investment Services, LLC (LOS ANGELES CA)

NY

03/09/2002 - 10/02/2002

RBC DAIN RAUSCHER INC. (NEW YORK NY)

MA

05/06/1998 - 03/09/2002

TUCKER ANTHONY INCORPORATED (BOSTON MA)

NY

12/21/1994 - 04/17/1998

CIBC OPPENHEIMER CORP. (NEW YORK NY)

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Licenses & Designations

IA

Issued 03/11/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/08/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/17/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/29/2012

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 12/20/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James M Hazelton.
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