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James Richard Worrell

Northwestern Mutual Investment Services, LLC

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About James Richard Worrell

James Richard Worrell is a financial advisor who has been in the industry since February 1997. James is currently registered with Northwestern Mutual Investment Services, LLC and has been with the firm since January 2006. James's experience includes working with Robert W. Baird & Co. Incorporated from February 1997 to January 2002. James holds the Series 6, 7, 9, 10, 26, 63, 65, 66, SIE, and 99TO licenses and is a Certified Financial Planner.

Firm Information

James Worrell is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

6235 Carnegie Blvd

CHARLOTTE, NC 28211

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 Worrell’s Registration & Firm History

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)

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Licenses & Designations

BOTH

Issued 1/21/2006

Series 66 - Uniform Combined State Law Examination

IA

Issued 12/6/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 3/12/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 2/21/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 2/19/2005

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 9/12/2001

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/7/2003

Series 7 - General Securities Representative Examination

BC

Issued 2/20/1997

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 Richard Worrell.
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