Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bennett is a financial professional with over 30 years of experience in the industry. James has been registered with Northwestern Mutual Investment Services, LLC since November 28, 1984. James is licensed in 12 states and has held Series 6, 7, 63 and 66 licenses. Previously, James was employed by Robert W. Baird & Co. Incorporated from March 7, 1989, until January 1, 2002. James specializes in providing investment advice and referrals to other advisors.
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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IN
11/28/1984 - Present
Northwestern Mutual Investment Services, LLC (EVANSVILLE IN)
WI
03/07/1989 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BOTH
Issued 09/25/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/14/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/2006
Series 7 - General Securities Representative Examination
BC
Issued 11/26/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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