Shannon D James

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

• 03/2024 → 04/2024
  Kevin Gomez
  Atlanta, GA
• 01/2021 → 03/2024
  Morgan Stanley
  Alpharetta, GA
• 05/2019 → 01/2021
  Berman Capital Advisors
  Atlanta, GA
• 08/2014 → 05/2019
  Morgan Stanley
  Atlanta, GA
• 05/2024 → 06/2025
  Kevin Gomez
  Atlanta, GA
• 05/2024 → Present
  Northwestern Mutual Investment Services Llc
  Atlanta, GA
• 06/2025 → Present
  Kag Insurance Services Llc
  Atlanta, GA

Previous Registrations

• 2021-02-24 → 2024-03-26
  Morgan Stanley
  Atlanta, GA
  Alpharetta, GA
• 2019-05-17 → 2021-01-19
  Berman Capital Advisors, Llc
  Atlanta, GA
• 2016-03-21 → 2019-05-14
  Morgan Stanley
  Atlanta, GA

Other Businesses

TREASURER, FINANCE COMMITTEE MEMBER, BECOMING LOVE PROJECT, 3901 OLD SAVANNAH CT, DOUGLASVILLE, , GEORGIA, 30135, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 4/10/2025, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, EXPENSE TRACKING, DRAFT DOCUMENTS OUTLINING WHO HAS ACCESS TO FUNDS, THE PROCESS FOR EXPENSE REIMBURSEMENTS, AND REPORTING STRUCTURES TO ENSURE PROPER FINANCIAL CONTROLS, MAINTAIN A GRANT TRACKING SYSTEM, KEEPING UP WITH DEADLINES, SUBMISSION DATES, AND REPORTING REQUIREMENTS. NON-INVESTMENT RELATED.

Exams

• S66 Uniform Combined State Law Examination
  2016-03-20
• S63 Uniform Securities Agent State Law Examination
  2013-12-23

Other Names

• Shannon D Snow
• Shannon Dimetra Snow
• Shannon Dimetra James
• Shannon Snow
• Shannon James