JM
JM
James Mollett
21 Years of Experience
Schaumburg, IL
1 DisclosureBroker
James Mollett is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Schaumburg, IL, with 21 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.
Compensation
Fixed/Hourly
Firm Size
2117 advisors
Number of Clients
1 client
Average Client Portfolio
Not specified
Fee Structure
Investment management only (planning not offered)
NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.
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Location
1475 E Woodfield Rd, Ste 900, Schaumburg, IL, 60173
Get directionsHistory
Regulatory History (1)
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Customer Dispute
September 2008Closed-No Action
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
June 2024 - Present · 2 yrs 1 mo
Northwestern Mutual Investment Services, LLCBroker
June 2024 - Present · 2 yrs 1 mo
Previous Registrations
Thornburg Investment Management INC
March 2020 - April 2024 · 4 yrs 1 mo
Thornburg Securities LLCBroker
February 2020 - April 2024 · 4 yrs 2 mos
American Funds Distributors, INC.
May 2014 - August 2019 · 5 yrs 3 mos
American Funds Distributors, INC.Broker
January 2014 - August 2019 · 5 yrs 7 mos
American Century Investment Services INC.Broker
December 2009 - January 2014 · 4 yrs 1 mo
American Century Brokerage, INC.Broker
September 2008 - December 2009 · 1 yr 3 mos
American Century Investment Services INC.Broker
April 2008 - September 2008 · 5 mos
AXA Advisors, LLC
April 2005 - March 2008 · 2 yrs 11 mos
AXA Advisors, LLCBroker
January 2004 - March 2008 · 4 yrs 2 mos
State Registrations5 states
COGAILVAWI
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.