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James Vance Marker

Northwestern Mutual Investment Services, LLC

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About James Vance Marker

James Marker is an investment advisor representative with Northwestern Mutual Investment Services, LLC. He is registered in Ohio and Wisconsin. James has been working in the financial services industry since 1984. He holds licenses for Series 6, 7, 8, 9, 10, 63, and 66 and has passed the SIE exam. James has experience working for Robert W. Baird & Co. Incorporated and Northwestern Mutual Life/NML Equities SE, in addition to his current firm.

Firm Information

James Marker 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 Marker’s Registration & Firm History

OH

11/30/2005 - Present

Northwestern Mutual Investment Services, LLC (Beavercreek OH)

WI

12/05/1989 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

NA

02/05/1988 - 02/23/1989

ROBERT W. BAIRD & CO. INCORPORATED

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Licenses & Designations

BOTH

Issued 11/25/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/18/2003

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 01/19/1993

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/30/1993

Series 7 - General Securities Representative Examination

BC

Issued 08/03/1984

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Vance Marker.
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