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James Thomas Fetters

Northwestern Mutual Investment Services, LLC

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About James Thomas Fetters

James Fetters is a financial professional with over 15 years of experience in the industry. James has a background in providing investment advice and services to clients. James is currently registered with Northwestern Mutual Investment Services, LLC and is licensed in California, New York, and North Carolina. James has experience working with a variety of clients, including high net worth individuals, corporations and banking institutions. James is committed to providing personalized financial advice and services that meet the unique needs of each client.

Firm Information

James Fetters is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

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 Fetters’s Registration & Firm History

CA

07/14/2016 - Present

Northwestern Mutual Investment Services, LLC (LOS ANGELES CA)

CA

04/23/2015 - 06/03/2016

LYNX CAPITAL, LLC (MORAGA CA)

NY

12/03/2012 - 03/01/2013

MORGAN STANLEY (PURCHASE NY)

CA

11/06/2009 - 03/01/2013

MORGAN STANLEY & CO. LLC (GLENDALE CA)

NY

04/20/2009 - 11/12/2009

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

CA

10/01/2008 - 12/24/2008

J.P.MORGAN SECURITIES INC. (SAN FRANCISCO CA)

CA

04/13/2006 - 10/01/2008

J.P. MORGAN SECURITIES INC. (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 07/29/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/12/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Thomas Fetters.
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