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 |
|---|---|---|---|---|---|---|---|---|
| Daniel James Katz | 7243310 | 1 | 06/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carolyn Saunders | 2675139 | 3 | 04/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Raviol | 6786674 | 1 | 04/27/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Silvester Thai | 7265379 | 1 | 04/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Jillson | 6744976 | 7 | 04/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Jillson | 6744976 | 7 | 04/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Michael Quinones | 7493517 | 1 | 04/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Jillson | 6744976 | 7 | 03/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Jillson | 6744976 | 7 | 03/25/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel James Bound | 4451492 | 3 | 03/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |