Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richard Worrell is a financial advisor with Northwestern Mutual Investment Services, LLC. James has been in the financial services industry since 1997 and has a broad range of experience and expertise in the field. James has a strong commitment to providing personalized financial planning and investment guidance to individuals and families. James is dedicated to helping clients achieve their financial goals through a variety of services, including financial planning, retirement planning, college savings planning, and investment management. James is registered with FINRA and holds a Series 6, 7, 9, 10, 26, 63, 65, and 66 licenses, and also holds the Certified Financial Planner (CFP) designation. James has been associated with Northwestern Mutual since 1996 and has a wealth of knowledge and experience with Northwestern Mutual products and services.
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
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2
NC
01/27/2006 - Present
Northwestern Mutual Investment Services, LLC (CHARLOTTE NC)
WI
02/28/1997 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BOTH
Issued 01/21/2006
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/06/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/12/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/21/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/19/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/12/2001
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/2003
Series 7 - General Securities Representative Examination
BC
Issued 02/20/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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