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 |
|---|---|---|---|---|---|---|---|---|
| Chad Reyes | 6733553 | 1 | 09/05/2023 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Jacob Ryan Penny | 6696323 | 1 | 09/01/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Julian Puga | 6313369 | 2 | 06/16/2023 | Customer Dispute | Denied | $5,111.10 | $0.00 | See FINRA Report |
| John D Florio | 5863873 | 1 | 06/08/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Anthony Rockwell Myers | 3051219 | 1 | 05/10/2023 | Customer Dispute | Denied | $8,375.00 | $0.00 | See FINRA Report |
| Luke Stanley Anderson | 5491701 | 1 | 05/10/2023 | Customer Dispute | Denied | $8,375.00 | $0.00 | See FINRA Report |
| John L Alcantara | 5658289 | 1 | 03/28/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Henry Paul Cerruti | 1654336 | 1 | 03/22/2023 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Cindy L Gunawan | 4801153 | 3 | 03/01/2023 | Customer Dispute | Denied | $6,639.00 | $0.00 | See FINRA Report |
| Andrew Brian Jesse | 6654709 | 1 | 02/17/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |