Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Tafolla is a financial professional with over 7 years of experience in the financial services industry. James is currently registered with Northwestern Mutual Investment Services, LLC. Previously, James has worked with BBVA Securities Inc. and NYLIFE Securities LLC. James holds the Series 6, 7 and 63 licenses, in addition to the SIE exam. James is licensed in Texas and California. James is located in McAllen, Texas at the Northwestern Mutual Investment Services, LLC office.
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
1
2
TX
10/20/2021 - Present
Northwestern Mutual Investment Services, LLC (McAllen TX)
TX
09/05/2018 - 06/02/2021
BBVA SECURITIES INC. (EDINBURG TX)
TX
04/23/2014 - 05/07/2018
NYLIFE SECURITIES LLC (EDINBURG TX)
BC
Issued 04/12/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2018
Series 7 - General Securities Representative Examination
BC
Issued 04/23/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure James Tafolla is the right advisor for you? Invested Better is here to help.
