Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole James is a financial professional at Northwestern Mutual Investment Services, LLC, with over 6 years of experience in the industry. Nicole holds a Series 6, Series 63, and SIE license, and is registered in Florida and New York. Nicole is located in Oswego, NY and is available to provide guidance and support to individuals and families.
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
NY
11/09/2017 - Present
Northwestern Mutual Investment Services, LLC (OSWEGO NY)
BC
Issued 07/05/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/2017
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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