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James Baird

Northwestern Mutual Investment Services,llc
29 Years of Experience
Oklahoma City, OK
1 DisclosureBroker
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James Baird is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Oklahoma City, OK, with 29 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 1 clients.

Northwestern Mutual Investment Services,llc
Compensation
Fixed/Hourly
Firm Size
2138 advisors
IM Fee
Planning only

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

6301 Waterford Blvd, Ste 410, Oklahoma City, OK, 73118

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2019
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is an adjunct professor at Southwestern Christian University, Mid-America Christian University, and Southern Nazarene University, teaching financial management. He dedicates minimal time to each of these non-investment related roles.

Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
February 2021 - Present · 5 yrs 8 mos
Northwestern Mutual Investment Services, LLCBroker
February 2021 - Present · 5 yrs 8 mos
Previous Registrations
TD Ameritrade, INC.Broker
February 2020 - January 2021 · 11 mos
TD Ameritrade, INC.
February 2020 - January 2021 · 11 mos
TD Ameritrade Investment Management, LLC
February 2020 - December 2020 · 10 mos
Arvest Wealth Management
December 2016 - December 2019 · 3 yrs
Arvest Wealth ManagementBroker
December 2016 - December 2019 · 3 yrs
Cetera Investment Advisers LLC
January 2014 - November 2016 · 2 yrs 10 mos
Cetera Investment Services LLCBroker
November 2012 - November 2016 · 4 yrs
Cetera Investment Services LLC
November 2012 - January 2014 · 1 yr 2 mos
J.P. Morgan Securities LLC
October 2012 - November 2012 · 1 mo
J.P. Morgan Securities LLCBroker
October 2012 - November 2012 · 1 mo
Chase Investment Services CORP.
September 2011 - October 2012 · 1 yr 1 mo
Chase Investment Services CORP.Broker
September 2011 - October 2012 · 1 yr 1 mo
Tiaa-Cref Individual & Institutional Services, LLCBroker
May 2000 - June 2010 · 10 yrs 1 mo
Fidelity Brokerage Services, INC.Broker
April 1997 - March 2000 · 2 yrs 11 mos
Fidelity Investments Institutional Services Company, INC.Broker
January 1996 - April 1997 · 1 yr 3 mos
State Registrations1 state
OK
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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