James Robert Richards
Investment adviser representative at Northwestern Mutual Investment Services,LLC
24 yearsExperience
1 stateRegistered in
$0Firm assets
54 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Fixed or flat feeOther
Experience
24 years in the industry.
- Northwestern Mutual Investment Services, LLCJan 2021 to now
- Northwestern Mutual Life Insurance CompanyJan 2021 to now
- BMO Harris Financial AdvisorsJul 2018 to Jan 2021
- UnemployedMar 2018 to Jul 2018
- Scottrade, Inc.Mar 2002 to Mar 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2004
- Series 66 · Uniform Combined State Law2017
State registrations
Registered as an investment adviser representative in 1 state (WI).
Northwestern Mutual Investment Services,LLC
Legal name: Northwestern Mutual Investment Services, LLC
$0Assets managed
1Clients
2,130Advisers
54 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4522083
- Firm CRD
- 2881