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

Dec 23, 2013earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S66|S63

First exam

Dec 23, 2013

First registration

Mar 21, 2016

Dual registered

yes, broker-dealer

Other names

SHANNON D SNOW|SHANNON DIMETRA SNOW|SHANNON DIMETRA JAMES|Shannon Snow|Shannon James

IAPD individual key

5856894

• Occurred

  Mar 26, 2024
  Advisor changed firm

  Shannon D James left Morgan Stanley for Northwestern Mutual Investment Services,Llc (registered 2024-08-21)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e664ec60-5137-e968-7fa4-67172e66532c

First observed

Mar 21, 2016

Last observed

Sep 14, 2026 6 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.