Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lovell is a financial professional with over 38 years of experience in the industry. James is a registered representative of Northwestern Mutual Investment Services, LLC and has been with the firm since December 21, 1989. James also has previous experience at ROBERT W. BAIRD & CO. INCORPORATED and PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED. James has earned a variety of licenses and certifications including Series 7, 9, 10, 24, 63, and 65. James currently holds registrations in multiple states including California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Illinois, Kansas, Maine, Massachusetts, Missouri, New Hampshire, New Jersey, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, and Wisconsin. James is dedicated to providing his clients with personalized financial advice and guidance.
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
NH
12/21/1989 - Present
Northwestern Mutual Investment Services, LLC (Manchester NH)
WI
05/14/1991 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NA
11/07/1989 - 12/31/1993
ROBERT W. BAIRD & CO. INCORPORATED
SC
10/26/1984 - 11/02/1989
PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED (FORT MILL SC)
IA
Issued 07/08/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/01/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/01/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 08/20/1987
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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