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 |
|---|---|---|---|---|---|---|---|---|
| David W Green | 5926869 | 2 | 10/18/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott R Evans | 4997327 | 1 | 10/15/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew R Krueger | 4799539 | 2 | 08/22/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Paul Barber | 4705367 | 2 | 06/24/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ruben Levisman | 5716117 | 3 | 06/24/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Melissa Beth Thacker | 5914854 | 1 | 01/31/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William F McKernan | 4615214 | 5 | 01/10/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph Rooney | 4795727 | 1 | 11/02/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kimberly K Poeckes | 6368885 | 1 | 08/14/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cynthia Renee Huber | 3025451 | 2 | 08/01/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |