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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Burdi | 1742582 | 2 | 04/19/2004 | Customer Dispute | Closed-No Action | $8,438.05 | $0.00 | See FINRA Report |
| Thomas Michael MacK | 2344680 | 1 | 03/17/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Allen Paul Gardner Brown | 2541746 | 2 | 02/12/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Alan Knox | 2565576 | 3 | 02/06/2002 | Customer Dispute | Closed-No Action | $33,958.20 | $0.00 | See FINRA Report |
| Glenn Eric Black | 2757199 | 1 | 11/15/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |