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James Michael Fitzgerald

Northwestern Mutual Investment Services, LLC

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About James Michael Fitzgerald

James Fitzgerald is a financial advisor who has been in the industry since 1987. He is currently registered with Northwestern Mutual Investment Services, LLC and has a branch office location in Richmond, VA. James also previously worked for Robert W. Baird & Co. Incorporated in Milwaukee, WI. James is a licensed agent in 36 states and holds the following FINRA licenses: Series 6, 7, 22, 63 and 66. He has earned the Securities Industry Essentials (SIE) Exam. James is a highly experienced financial advisor who is committed to helping his clients reach their financial goals.

Firm Information

James Fitzgerald 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 Fitzgerald’s Registration & Firm History

VA

02/03/1987 - Present

Northwestern Mutual Investment Services, LLC (RICHMOND VA)

WI

02/03/1987 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 11/07/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/13/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/14/2001

Series 7 - General Securities Representative Examination

BC

Issued 05/16/1988

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 02/02/1987

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 Michael Fitzgerald.
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