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James Michael Smallegan

Northwestern Mutual Investment Services, LLC

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About James Michael Smallegan

James Michael Smallegan is a registered representative with Northwestern Mutual Investment Services, LLC. James has been in the securities industry since October 4, 2001. He holds a Series 7 license, a Series 63 license, and a Series 66 license. He is currently registered in Alabama, Arizona, Florida, Illinois, Indiana, Kentucky, Maryland, Michigan, South Carolina, Texas, Virginia, and Washington. James also holds a Series 7 license and a Series 66 license. James is a member of the Financial and Estate Planning Council of Metro Detroit and may earn commissions from insurance companies not affiliated with Northwestern Mutual for sales of non-variable life, health, annuity and/or disability income insurance products.

Firm Information

James Smallegan 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 Smallegan’s Registration & Firm History

MI

01/29/2010 - Present

Northwestern Mutual Investment Services, LLC (TROY MI)

WI

10/05/2001 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 09/21/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/12/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/04/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Michael Smallegan.
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