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

Jun 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom 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

Jul 20, 2020

First registration

Jul 24, 2020

Dual registered

yes, broker-dealer

Other names

JAMES ROGER POOLE|James Roger Poole

IAPD individual key

7226732

• Occurred

  Mar 10, 2025
  Advisor changed firm

  James Roger Poole left Linden Thomas Advisory Services, Llc for Northwestern Mutual Investment Services,Llc (registered 2025-08-27)

  Form ADVobserved 5 days ago
• Occurred

  Jun 29, 2022
  Advisor changed firm

  James Roger Poole left Securian Financial Services, Inc. for Linden Thomas Advisory Services, Llc (registered 2022-08-02)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e6e59cfc-b82d-4f9e-570d-9d8ace1f2311

First observed

Jul 24, 2020

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.