James Worrell
James Worrell is a CFP-designated registered investment advisor at Northwestern Mutual Investment Services,llc, based in Charlotte, NC, 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.
Compensation
Firm Size
IM Fee
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
6235 Carnegie Blvd, Charlotte, NC, 28211
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James may earn commissions from insurance companies for sales of non-variable life, health, annuity, and/or disability income insurance products. He also owns 100% of Richard Worrell General Agency LLC, spending a few hours per week facilitating operations related to his Northwestern Mutual practice, and owns 48% of RC Properties LLC, spending minimal time writing checks for expenses related to the beach house.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Northwestern Mutual Wealth Management Company
Robert W. Baird & CO. IncorporatedBroker
State Registrations51 states
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
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