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James Robert Richards

Northwestern Mutual Investment Services, LLC

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About James Robert Richards

James Richards is a financial advisor with Northwestern Mutual Investment Services, LLC. James is a registered representative with both FINRA and the state of Wisconsin. James has been working in the financial services industry since 2004. James holds the Series 7, 24 and 66 licenses and previously worked at BMO Harris Financial Advisors, Inc. and Scottrade, Inc. James is also a treasurer for the St. John Evangelical Lutheran Church.

Firm Information

James Richards 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

720 E Wisconsin Ave

Milwaukee, WI 53202

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 Richards’s Registration & Firm History

WI

01/22/2021 - Present

Northwestern Mutual Investment Services, LLC (Milwaukee WI)

WI

07/30/2018 - 01/05/2021

BMO HARRIS FINANCIAL ADVISORS, INC. (MILWAUKEE WI)

WI

02/19/2004 - 03/09/2018

SCOTTRADE, INC. (MEQUON WI)

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Licenses & Designations

BOTH

Issued 2/3/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 2/23/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 1/12/2010

Series 24 - General Securities Principal Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 2/18/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Robert Richards.
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