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James Robert Brown

Northwestern Mutual Investment Services, LLC

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About James Robert Brown

James Robert Brown is an Investment Advisor Representative with Northwestern Mutual Investment Services, LLC, in Bloomington, Illinois. James has been in the industry since November 25, 1984. James is a Registered Representative and Investment Advisor Representative with Northwestern Mutual Investment Services, LLC. James is also registered in 18 states and 1 District of Columbia. James has also worked for ROBERT W. BAIRD & CO. INCORPORATED, in Milwaukee, WI.

Firm Information

James Brown 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

102 S East St

Bloomington, IL 61701

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 Brown’s Registration & Firm History

IL

01/12/2006 - Present

Northwestern Mutual Investment Services, LLC (Bloomington IL)

WI

01/25/1989 - 01/01/2002

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

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Licenses & Designations

BOTH

Issued 7/20/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 8/26/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 1/9/2008

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 4/6/2006

Series 7 - General Securities Representative Examination

BC

Issued 4/24/1989

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 11/16/1984

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 Robert Brown.
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