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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Mowrey | 6610051 | 1 | 03/20/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ioulia Guerin | 6378536 | 2 | 02/08/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lucas McLaughlin | 5897417 | 1 | 10/06/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roycer Delgado | 6315267 | 1 | 07/03/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Zachary Doroski | 4574319 | 1 | 10/29/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sherry To-Nga Kim | 3066012 | 1 | 10/01/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Renee Catherine Johnson | 5233194 | 9 | 12/11/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jared Scott Davis | 5008801 | 1 | 01/15/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Phillip Wilson Schell | 6354919 | 1 | 05/29/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Langston Laury | 5081969 | 2 | 03/03/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |