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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Grant Guin | 1912408 | 1 | 03/30/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dana Alexandria Wallace | 7112361 | 2 | 03/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Zachari Minton | 7721173 | 1 | 03/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas James Myers | 7687616 | 2 | 03/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amanda Crossett | 7309662 | 1 | 03/02/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tawni D Finke | 7383020 | 1 | 03/01/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dakota Raymond Heer | 7408341 | 1 | 02/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carolyn Saunders | 2675139 | 3 | 02/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sharon F Ross | 5790650 | 2 | 02/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Trevor Spiegel | 7346924 | 4 | 01/25/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |