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Shannon D James

Northwestern Mutual Investment Services, LLC

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About Shannon D James

Shannon D James is a registered representative with Northwestern Mutual Investment Services, LLC, and has been in the industry since April 2014. Shannon has an active registration in Georgia. Shannon has previous experience with Morgan Stanley and E*TRADE SECURITIES LLC.

Firm Information

Shannon James is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

3438 PEACHTREE RD NE

ATLANTA, GA 30326

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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Shannon James’s Registration & Firm History

GA

08/21/2024 - Present

Northwestern Mutual Investment Services, LLC (ATLANTA GA)

GA

02/23/2021 - 03/26/2024

MORGAN STANLEY (Alpharetta GA)

GA

09/08/2014 - 05/14/2019

MORGAN STANLEY (ATLANTA GA)

GA

12/10/2013 - 09/09/2014

E*TRADE SECURITIES LLC (ALPHARETTA GA)

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Licenses & Designations

BOTH

Issued 3/20/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/23/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/10/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shannon D James.
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