Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northwestern Mutual Investment Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Ryan C Lawrence | 5913287 | 1 | 11/21/2022 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |
| Matthew Carl Leopold | 2680993 | 1 | 10/26/2022 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Erik R Gomez | 4997320 | 1 | 06/08/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jonathan Paul Hamby | 5061374 | 1 | 05/23/2022 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Allen Paul Gardner Brown | 2541746 | 2 | 03/14/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| James Kirk Baird | 2701356 | 1 | 09/27/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Merle Erpelding | 1709152 | 1 | 05/06/2019 | Customer Dispute | Closed-No Action | $37,000.00 | $0.00 | See FINRA Report |
| Stewart Douglas Keltner | 6089104 | 1 | 10/03/2018 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Kevin Michael Caccomo | 6066313 | 1 | 08/17/2018 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Heath M Johnson | 4737219 | 1 | 08/03/2018 | Customer Dispute | Closed-No Action | $13,000.00 | $0.00 | See FINRA Report |