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 |
|---|---|---|---|---|---|---|---|---|
| Wesley J Petteway | 6302320 | 3 | 05/23/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brooks Ryan Allen Berueffy | 6614275 | 2 | 05/07/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin Alex Krieger | 5720906 | 1 | 04/10/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tyler Ross Hottel | 5886076 | 1 | 02/06/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Giancarlo Montufar | 5176115 | 1 | 12/09/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kelly Glenn Parker | 6061962 | 1 | 12/03/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Frost | 6326717 | 2 | 09/26/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chad Urie Frank | 7005719 | 2 | 07/27/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam Zachary Fort | 6977679 | 1 | 06/27/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chad Urie Frank | 7005719 | 2 | 06/24/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |