James Richard Worrell

Employer firm

Northwestern Mutual Investment Services, LLC CRD 2881

1 advisory clients

Reported services (Item 5G)

• INVESTMENT RESEARCH; REFERRALS TO OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/1996 → Present
  Northwestern Mutual Life Ins Co
  Milwaukee, WI
• 01/1997 → Present
  Northwestern Mutual Investment Services, Llc
  Charlotte, NC
• 07/2014 → Present
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 01/2016 → Present
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI

Previous Registrations

• 2004-09-30 → 2007-04-30
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI

Other Businesses

1) MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. 2) RICHARD WORRELL GENERAL AGENCY LLC, INVESTMENT RELATED, CHARLOTTE NC, 5 HRS/MO, FACILITATING OPERATIONS RELATED TO HIS NM PRACTICE, 100% OWNER 2) RC PROPERTIES LLC; REAL ESTATE; 2218 HOPEDALE AVENUE, CHARLOTTE, NC 28207; 48% OWNER; 1 HOUR/MONTH; NON-INVESTMENT RELATED; START 12/31/2012; WRITE CHECKS TO COVER EXPENSES ASSOCIATED WITH THE BEACH HOUSE.

Exams

• S66 Uniform Combined State Law Examination
  2006-01-21
• S65 Uniform Investment Adviser Law Examination
  1999-12-06
• S63 Uniform Securities Agent State Law Examination
  1997-03-12

Designations

• Certified Financial Planner

Other Names

• Richard Worrell
• James Richard Worrell