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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Ryan Thompson | 6433519 | 1 | 04/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walter Roman Pierz | 2115546 | 2 | 03/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jaime Marie Gibson | 6058573 | 4 | 03/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Grace Cho Pham | 6936281 | 1 | 03/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Suzanne Norman | 5470546 | 5 | 02/15/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rob Nicholas Stone | 5143019 | 3 | 02/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Rose | 7338552 | 2 | 02/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rob Nicholas Stone | 5143019 | 3 | 02/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sharon F Ross | 5790650 | 2 | 01/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rob Nicholas Stone | 5143019 | 3 | 01/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |