James Harry Daffin

Current Employers

Employment History

• 09/2008 → Present
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 10/2008 → Present
  Northwestern Mutual Investment Services
  Cincinnati, OH
• 01/2016 → Present
  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. MEMBER, ELDER HIGH SCHOOL ALTIORA FUND, 3900 VINCENT AVE, CINCINNATI, , OHIO, 45205, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 05/03/2017, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, HELP ON THE FINANCE COMMITTEE WITH ADVISING ON THEIR ENDOWMENT FUND. 3. PRESIDENT, FOX RIDGE HOME OWNERS ASSOCIATION, 5795 VALLEYWAY CT, CINCINNATI, OH, STARTED 4/30/15, 0-5 HRS PER MONTH, SERVES AS PRESIDNENT OF HOA IN NEIGHBORHOOD OF SEVEN HOMES. 4. BOARD MEMBER, COMMUNITY MATTERS, 2110 ST. MICHAEL ST., CINCINNATI, , OHIO, 45204, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 1/28/2020, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I SERVE ON THE COMMITTEE AS A RESOURCE FOR REVIEWING THEIR FINANCES. 5. OWNER, PWA HOLDINGS LLC, LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 3/16/2022, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 6. EMD ENTERPRISES LLC, LEGAL ENTITY, START DATE: 12/23/2024, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 7. JHD HOLDINGS LLC, LEGAL ENTITY, START DATE: 12/23/2024, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 21-40, LEGAL ENTITY ESTABLISHED FOR BUSINESS PURPOSES, INVESTMENT RELATED. 8. OWNERSHIP DAFFIN DEVELOPMENT - PASSIVE INVOLVEMENT, 7 W. COURT ST., CINCINNATI, , OHIO, 45202, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 5/13/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, INVESTMENT RELATED. 9. BODY ALIVE FITNESS, 2300 TERRA CROSSING BLVD, LOUISVILLE, , KENTUCKY, 40245, UNITED STATES OF AMERICA, NON-FINANCIAL SERVICES BUSINESS, START DATE: 09/29/2025, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, NON-INVESTMENT RELATED. 10.OWNER, PWA HOLDINGS LLC, LEGAL ENTITY WMC COMPENSATION AND EA EMPLOYMENT, START DATE: 3/16/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED

Exams

• S66 Uniform Combined State Law Examination
  2011-10-17
• S63 Uniform Securities Agent State Law Examination
  2009-08-31