Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JAMES C DARLING
CRD#: 5674497
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 3901 WESTERRE PKWY
STE 300
RICHMOND, VA 23233
Registration History
2010201220142016201820202022202420262 FIRMS2010 - Present (14 years)
License(s)

State Registrations

B
Alabama 1/14/2015
B
Minnesota 6/10/2021
B
California 2/15/2012
B
New Jersey 5/12/2011
B
Colorado 11/21/2012
B
New York 5/12/2011
B
Connecticut 5/12/2011
B
North Carolina 8/29/2011
B
District of Columbia 6/17/2011
B
Pennsylvania 4/14/2015
B
Florida 11/20/2015
B
Tennessee 6/2/2021
B
Georgia 12/5/2011
B
Texas 7/17/2017
B
Maryland 1/5/2017
B
Vermont 9/23/2020
B
Massachusetts 10/10/2012
B
Virginia 8/3/2010
B
Michigan 10/6/2015
IA
Virginia 8/3/2010

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
3901 WESTERRE PKWY STE 300, RICHMOND, VA 23233
Registered with this firm since 8/3/2010
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
3901 WESTERRE PKWY STE 300, RICHMOND, VA 23233
Registered with this firm since 7/13/2010
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.