Individual Firm
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JAMES R NEWLON
JAMES HURST NEWLON, JIM NEWLON
CRD#: 1021690
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 1909 Central Dr Ste 304
BEDFORD, TX 76021
BEDFORD, TX 76021
0
Disclosures
42
Years of Experience
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State Registrations
B
Illinois 1/5/2009
B
Texas 1/1/2002
B
South Carolina 12/19/2022
IA
Texas 7/26/2007
SRO Registrations
B
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IA
Registered with this firm since 7/26/2007
B
Registered with this firm since 3/25/1982
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/20/2006 - 07/18/2007 | BEDFORD, TX | |
B | 04/03/1989 - 01/01/2002 | MILWAUKEE, WI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.