Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames William Arndt is a financial professional with over 7 years of experience in the industry. James is a registered representative with Northwestern Mutual Investment Services, LLC. James is licensed to offer securities and investment advisory services in 51 states and the District of Columbia. James has a Series 7, Series 9, Series 10, Series 63, and SIE license. James specializes in providing investment research and referrals to other advisers.
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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MI
01/05/2016 - Present
Northwestern Mutual Investment Services, LLC (TROY MI)
BC
Issued 03/21/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/19/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/21/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/2016
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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