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 |
|---|---|---|---|---|---|---|---|---|
| Jamie Rolanda Endicott | 7567226 | 1 | 01/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Richard Kreiter | 2552964 | 1 | 12/23/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Terrence V Mabe | 7507032 | 1 | 12/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carl James Velander | 1276111 | 2 | 12/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charmaine R Corbin | 3268267 | 3 | 11/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charmaine R Corbin | 3268267 | 3 | 11/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas James Myers | 7687616 | 2 | 11/30/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Emma E Thompson | 6859070 | 1 | 11/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Terri Lynn Crowley | 2546319 | 3 | 11/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Javaka Yatis Rakim Thompson | 7336735 | 1 | 10/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |