James Poole
James Poole is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Charlotte, NC, with 4 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
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
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.
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 →Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Linden Thomas and Company Securities, LLCBroker
Linden Thomas Advisory Services, LLC
Linden Thomas and Company Securities, LLCBroker
Linden Thomas Advisory Services, LLC
Securian Financial Services, INC.
Securian Financial Services, INC.Broker
State Registrations8 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.