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James Malcolm Morgan

Northwestern Mutual Investment Services, LLC

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About James Malcolm Morgan

James Malcolm Morgan is an active registered representative with Northwestern Mutual Investment Services, LLC in GREENSBORO, NC. James has been in the industry since 1982 and has worked with Robert W. Baird & Co. Incorporated. James is currently registered with the state of North Carolina as a registered representative. James has passed the General Securities Representative Examination (Series 7), Investment Company Products/Variable Contracts Representative Examination (Series 6), Uniform Securities Agent State Law Examination (Series 63) and Uniform Combined State Law Examination (Series 66).

Firm Information

James Morgan 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 Morgan’s Registration & Firm History

NC

12/11/2006 - Present

Northwestern Mutual Investment Services, LLC (GREENSBORO NC)

WI

05/30/1985 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 10/16/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/19/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/1985

Series 7 - General Securities Representative Examination

BC

Issued 03/05/1982

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 Malcolm Morgan.
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