James Roger Poole
Investment adviser representative at Northwestern Mutual Investment Services,LLC
10 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
10 years in the industry.
- Northwestern Mutual Wealth Management CompanyNov 2025 to now
- Drew PavlovOct 2025 to now
- Northwestern Mutual Investment Services, LLCJul 2025 to now
- John BarnesMay 2025 to now
- Linden Thomas & Company Securities, LLCOct 2024 to Mar 2025
- Telos Wealth AdvisorsApr 2024 to Oct 2024
- UnemployedFeb 2024 to Apr 2024
- Linden Thomas & Company Securities, LLCAug 2022 to Feb 2024
- Commonwealth Financial GroupFeb 2020 to Jul 2022
- Securian Financial Services IncFeb 2020 to Jul 2022
- Shelter Lending ServicesJan 2018 to Feb 2020
- Eagle Home MortgageJun 2016 to Oct 2017
Exams passed
- Series 66 · Uniform Combined State Law2020
State registrations
Registered as an investment adviser representative in 1 state (NC).
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
- 7226732
- Firm CRD
- 2881