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 |
|---|---|---|---|---|---|---|---|---|
| Rodrick Lamont Butler | 3103844 | 1 | 10/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Vincent McCluskey | 2882205 | 1 | 10/21/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Heidi Kay Erdmann | 4152417 | 1 | 10/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sasha L Bussian | 6698824 | 1 | 10/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brittney Coffman | 7206088 | 7 | 10/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brittney Coffman | 7206088 | 7 | 10/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John A Dimatteo | 7293220 | 3 | 10/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brittney Coffman | 7206088 | 7 | 09/25/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carolyn Saunders | 2675139 | 3 | 09/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John A Dimatteo | 7293220 | 3 | 09/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |