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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

James Cooper

Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

MIDDLETON, WI

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Search this name across graphsid dfx:ria:b2f242ee-2c69-40d3-0f52-09f104a75ba0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Dec 8, 2020 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 30, 2020
First registration: Dec 8, 2020
Dual registered: yes, broker-dealer
Other names: James Cooper|James Maxwell Cooper|James Cooper|James Cooper
IAPD individual key: 7273991

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Feb 27, 2025	n/a	yes	MIDDLETON, WI	Current employment
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Apr 1, 2022	Nov 6, 2024	no	PLYMOUTH, MN\|MADISON, WI\|MADISON, WI	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Apr 5, 2021	Apr 4, 2022	no	MIDDLETON, WI	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Dec 8, 2020	Feb 24, 2021	no	MILWAUKEE, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Nov 6, 2024	Feb 27, 2025	113	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Apr 4, 2022	Apr 1, 2022	-3	Firm change	Other
EQUITABLE ADVISORS, LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Feb 24, 2021	Apr 5, 2021	40	Firm change	Other

Relationships

Registered with (3)

→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Apr 5, 2021 to Apr 4, 2022factForm ADV
→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Apr 1, 2022 to Nov 6, 2024factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 8, 2020 to Feb 24, 2021factForm ADV

Dated events

Occurred
Nov 6, 2024
Advisor changed firm
James Cooper left Wealth Enhancement Advisory Services, Llc for Northwestern Mutual Investment Services,Llc (registered 2025-02-27)
Form ADVobserved 5 days ago
Occurred
Apr 4, 2022
Advisor changed firm
James Cooper left Northwestern Mutual Investment Services,Llc for Wealth Enhancement Advisory Services, Llc (registered 2022-04-01)
Form ADVobserved 5 days ago