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James Matthew Siegel

Northwestern Mutual Investment Services, LLC

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About James Matthew Siegel

James Matthew Siegel is a financial advisor at Northwestern Mutual Investment Services, LLC. James has been in the financial services industry since 2008, and holds licenses in 21 states. James holds Series 6, 7 and 65 licenses, along with the SIE designation. James focuses on providing financial planning and investment advice to clients. In addition to his work as a financial advisor, James is also a business coach and speaker.

Firm Information

James Siegel is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

1250 Wood Branch Park Dr

Houston, TX 77079

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 Siegel’s Registration & Firm History

TX

03/25/2014 - Present

Northwestern Mutual Investment Services, LLC (Houston TX)

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Licenses & Designations

IA

Issued 3/24/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 7/11/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/17/2015

Series 7 - General Securities Representative Examination

BC

Issued 5/16/2008

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 Matthew Siegel.
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