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 |
|---|---|---|---|---|---|---|---|---|
| Philip Dylan Baus | 5950818 | 1 | 04/02/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Wrenn | 7635217 | 1 | 03/31/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brooks Ryan Allen Berueffy | 6614275 | 2 | 01/15/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Phillip Arensdorf | 7560043 | 1 | 01/05/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jessica Butler | 7140761 | 1 | 09/19/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gordon Miller | 7167600 | 1 | 08/06/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Adam Finnegan | 6542034 | 1 | 07/12/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eli Stephen Ford | 6443021 | 1 | 06/24/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mitchell Kurt Castillo | 6323081 | 1 | 06/23/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sawyer C Green | 7522208 | 3 | 06/20/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |