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 |
|---|---|---|---|---|---|---|---|---|
| Scott Anthony Schiavone | 3256912 | 1 | 12/09/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Kevin Ellison | 2740621 | 1 | 12/10/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert W Wylie | 4525501 | 2 | 09/01/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Martin Stransky | 2155562 | 1 | 08/24/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David P Oswell | 4651612 | 1 | 02/15/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shawn Christopher MacKey | 1815521 | 1 | 02/04/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryan Kevin Thomas | 1787068 | 1 | 10/20/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Scarpa | 2222829 | 1 | 06/28/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Keith Thurman | 4647871 | 1 | 04/21/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Balthrop Dawson | 1904523 | 1 | 10/25/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |