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Detailed Report
James Buckley
JAMES T BUCKLEY SRA, JAMES T BUCKLEY, JAMES THOMAS BUCKLEY, JAMES BUCKLEY
CRD#: 5745849
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 1000 Elm St
15th Floor
Manchester, NH 03101
Registration History
2010201220142016201820202022202420262 FIRMS2012 - 2013 (1 year)2 FIRMS2014 - 2016 (2 years)2 FIRMS2017 - Present (7 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2010 - 2012 (1 year)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2012 - 2012 (<1 year)
License(s)

State Registrations

B
Alabama 12/12/2022
B
Minnesota 1/2/2018
B
Arizona 9/28/2021
B
Montana 1/20/2023
B
California 9/2/2022
B
New Hampshire 12/11/2017
B
Colorado 10/11/2024
IA
New Hampshire 12/11/2017
B
Connecticut 1/2/2018
B
New Jersey 1/2/2018
B
Delaware 12/12/2022
B
New York 1/2/2018
B
District of Columbia 2/9/2022
B
North Carolina 1/2/2018
B
Florida 1/2/2018
B
Ohio 1/2/2018
B
Georgia 1/3/2022
B
Pennsylvania 1/2/2018
B
Illinois 11/7/2023
B
Rhode Island 12/12/2022
B
Kansas 8/11/2021
B
South Carolina 1/2/2018
B
Louisiana 2/16/2021
B
Vermont 1/2/2018
B
Maine 1/2/2018
B
Virginia 12/12/2022
B
Maryland 2/10/2020
B
Washington 1/2/2018
B
Massachusetts 1/2/2018
B
Wisconsin 12/12/2022
B
Michigan 5/14/2021
B
Wyoming 1/23/2023

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)
1000 Elm St 15th Floor, Manchester, NH 03101
Registered with this firm since 12/11/2017
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
1000 Elm St 15th Floor, Manchester, NH 03101
Registered with this firm since 12/11/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/17/2014 - 12/22/2016 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) MANCHESTER, NH
B
 02/17/2014 - 12/22/2016 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MANCHESTER, NH
IA
 03/21/2012 - 10/31/2013 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) MEMPHIS, TN
B
 03/21/2012 - 10/31/2013 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MEMPHIS, TN
IA
 01/11/2012 - 01/31/2012 STRATEGIC ADVISERS, INC. (CRD#:104555) MERRIMACK, NH
B
 03/29/2010 - 01/30/2012 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) MERRIMACK, NH
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.