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James Patrick Grogan

Northwestern Mutual Investment Services, LLC

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About James Patrick Grogan

James Grogan is a financial advisor with Northwestern Mutual Investment Services, LLC and is registered with FINRA and the state of Wisconsin. James has been in the industry since December 1989 and has extensive experience in securities and investment products. He holds several licenses and registrations, including Series 7, Series 6, Series 26 and Series 63. James previously worked at Robert W. Baird & Co. Incorporated from 1990 to 2002.

Firm Information

James Grogan 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 Grogan’s Registration & Firm History

WI

12/14/1989 - Present

Northwestern Mutual Investment Services, LLC (MILWAUKEE WI)

WI

02/02/1995 - 01/01/2002

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

WI

03/22/1990 - 12/31/1992

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

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Licenses & Designations

BC

Issued 06/11/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/15/2006

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 07/24/1999

Series 12 - NYSE Branch Manager Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/13/2008

Series 7 - General Securities Representative Examination

BC

Issued 12/12/1989

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 Patrick Grogan.
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