James Dunn, financial advisor Poughkeepsie NY

James Dunn

CRD Number: 5312999
Current Firm: Northwestern Mutual Investment Services,llc

James Dunn (CRD# 5312999) is an Investment Advisor Representative working at Northwestern Mutual Investment Services,llc in Poughkeepsie, NY and has over 10 years of experience in the finance industry. James Dunn has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Northwestern Mutual Wealth Management Company Milwaukee, WI May 2022 - Current < 1
Joseph Small Poughkeepsie, NY Apr 2021 - Current 1
Northwestern Mutual Investment Services LLC Poughkeepsie, NY Apr 2021 - Current 1
Income Generating Insights Inc. Trumbull, CT Mar 2018 - Current 4
Intuit Inc. San Diego, CA Dec 2020 - Apr 2021 < 1
Wells Fargo Advisors Westport, CT Apr 2019 - Dec 2020 1
Fidelity Brokerage Services LLC Stamford, CT Feb 2017 - Feb 2018 1
The Phyancial Md LLC Westport, CT May 2014 - Jan 2017 2
Prudential Annuities Inc. Shelton, CT Mar 2012 - Apr 2014 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2012
S63 Uniform Securities State Law Examination Mar 2017
Contact Info for James A. Dunn
Phone Number: 866-664-7737
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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