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 |
|---|---|---|---|---|---|---|---|---|
| Lars Jeffrey Ronten | 6917304 | 2 | 08/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Richard Colley | 6884157 | 1 | 08/19/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Coquyt | 6611042 | 1 | 08/08/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Ann Osowski | 4464027 | 1 | 07/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jesse Dewayne Cotney | 7528339 | 1 | 07/23/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angela Marie Pezall | 7181203 | 1 | 07/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Shin Woo Lerche | 6668631 | 5 | 06/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian James Howard | 4195765 | 1 | 06/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura L Engle | 4863377 | 1 | 06/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Paul Rasak | 6119442 | 4 | 06/17/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |