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James Christiaan Carroll

Northwestern Mutual Investment Services, LLC

Houston, TX

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Current Employers
Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2008-04-24
  • TX RA
    APPROVED_RES
    Since 2008-04-24

Branch Locations

1 Riverway Ste 900, Houston, TX 77056 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Investment Services, Llc Houston TX 08/2007 Present
Keith Rollins Houston TX 04/2009 Present
Chad S Smith Houston TX 01/2019 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 03/2022 Present
  • 08/2007 → Present
    Northwestern Mutual Investment Services, Llc
    Houston, TX
  • 04/2009 → Present
    Keith Rollins
    Houston, TX
  • 01/2019 → Present
    Chad S Smith
    Houston, TX
  • 03/2022 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-01-18
  • S63 Uniform Securities Agent State Law Examination
    2008-01-18
Other Names
  • Chris Carroll

View on SEC IAPD

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Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

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