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 |
|---|---|---|---|---|---|---|---|---|
| John Mark Thompson | 5205803 | 1 | 02/20/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Neil Carr | 7589878 | 1 | 10/08/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Humberto Rios | 5955162 | 1 | 08/23/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alina Salaridze | 6143920 | 1 | 08/13/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heather N Cousin | 3209746 | 2 | 08/10/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jordan C Bruns | 6502422 | 1 | 06/24/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Dale McDowell | 4961610 | 3 | 06/19/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael David Krisman | 5999154 | 1 | 03/16/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas James Minich | 7085829 | 1 | 03/06/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Dale McDowell | 4961610 | 3 | 11/02/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |