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 |
|---|---|---|---|---|---|---|---|---|
| Shinya Turley | 7256244 | 1 | 02/25/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Lynch | 6486140 | 1 | 12/31/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Danaire Taylor | 7792709 | 2 | 12/30/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Herbert Valentine Kelly | 5479288 | 1 | 07/04/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas D Gerken | 6456429 | 1 | 05/25/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Paul Margolin | 6319616 | 1 | 04/24/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jennifer Christine Vanderloop | 5054903 | 1 | 02/14/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dario Bolanos | 5875874 | 1 | 01/19/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lance Aaron Trammell | 5567424 | 1 | 12/11/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel J O Connor | 5687224 | 1 | 12/09/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |