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.

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

Aug 1, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

4

Current registrations

1

Registered states

1

Designations

Certified Financial Planner

Exams

S65|S66

First exam

Jan 15, 2015

First registration

Jan 15, 2015

Dual registered

yes, broker-dealer

Other names

JAMES CURRAN KELLY

IAPD individual key

6397033

• Occurred

  May 28, 2025
  Advisor changed firm

  James C Kelly left Wells Fargo Advisors for Northwestern Mutual Investment Services,Llc (registered 2025-10-31)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ca617661-211a-8d82-8ef6-d46bec4a2b56

First observed

Jan 15, 2015

Last observed

Sep 15, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.