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 |
|---|---|---|---|---|---|---|---|---|
| Francis James Clement | 2850384 | 2 | 03/11/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Jillson | 6744976 | 7 | 03/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Rashaun Jones | 5389951 | 2 | 03/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roy Ramon Cambronero | 6489579 | 3 | 03/06/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brittney Coffman | 7206088 | 7 | 03/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather M Desanctis | 7255830 | 1 | 02/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Rashaun Jones | 5389951 | 2 | 02/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alejandro Pastrana | 5968491 | 3 | 01/10/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel C Schmid | 6658306 | 1 | 12/23/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Paul Rasak | 6119442 | 4 | 12/17/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |