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Scott James McCauley

Northwestern Mutual Investment Services, LLC

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About Scott James McCauley

Scott James McCauley is a financial professional with over 35 years of experience in the financial services industry. Scott is a Registered Representative and Investment Advisor Representative with Northwestern Mutual Investment Services, LLC. Scott provides investment advice and securities brokerage services to individuals and families. Scott holds the Series 6, 7, 22 and 63 securities licenses as well as the Series 65 Investment Advisor Representative license. Scott is also a Certified Financial Planner and a Chartered Financial Consultant. Scott specializes in helping individuals and families achieve their financial goals.

Firm Information

Scott McCauley 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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Scott McCauley’s Registration & Firm History

NY

10/30/2007 - Present

Northwestern Mutual Investment Services, LLC (Albany NY)

WI

07/01/1987 - 01/01/2002

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

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Licenses & Designations

IA

Issued 11/15/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/04/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/18/2003

Series 7 - General Securities Representative Examination

BC

Issued 12/05/1987

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 06/27/1987

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Scott James McCauley.
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