James C Kelly
Investment Adviser Representative at Northwestern Mutual Investment Services,llc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James C. Kelly is an investment adviser representative with Northwestern Mutual Investment Services,llc in Wayne, PA, where they have been registered since 2025. They have worked in the securities industry since 2019 and have been registered with 4 firms, including Wells Fargo Advisors and WEST Capital Management. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 66 (combined investment adviser and state securities agent), and Series 7 (general securities representative). They are registered to provide investment advice in Wisconsin.
Registrations & licenses
- Investment adviser:
- Wisconsin
- Broker:
2 states and territories
Pennsylvania, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Wells Fargo BANKMar 2022 – May 2025Radnor, PA
- Wells Fargo Clearing ServicesMar 2022 – May 2025Radnor, PA
- PNC BankNov 2017 – Mar 2022Philadelphia, PA
- WEST Capital ManagementOct 2016 – Nov 2017Philadelphia, PA
- Drexel University School of LawMar 2022 – May 2024Philadelphia, PA
- Northwestern Mutual Life Insurance CompanyAug 2025 – no end date reportedMilwaukee, WI
- Northwestern Mutual Investment Services LLCOct 2025 – no end date reportedMilwaukee, WI
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Northwestern Mutual Investment Services,llc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
Similar advisors in Wayne, PA
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James C Kelly has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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