Unclaimed
James Goodrich is a financial advisor with Northwestern Mutual Investment Services, LLC. James has been in the financial industry for over 46 years and is licensed to provide investment advice in 10 states. James is a Registered Representative with FINRA and the Securities Industry Essentials (SIE) exam. James is also a Registered Principal with FINRA. James previously worked at Robert W. Baird & Co. Incorporated from 1991 to 2002.
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.
Investment research; referrals to other advisers
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.
Set rates for specific services, regardless of time or assets managed.
Referral fees
1
2
MI
12/07/1976 - Present
Northwestern Mutual Investment Services, LLC (MT PLEASANT MI)
WI
05/31/1991 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BC
Issued 04/15/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/12/2005
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/31/1995
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/1976
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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