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 |
|---|---|---|---|---|---|---|---|---|
| Allen Michael Wolfe | 6321605 | 5 | 01/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shellique Davis | 6773954 | 1 | 01/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vanesha Marie Wright | 4982080 | 1 | 12/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexandra Connor | 7429675 | 3 | 11/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jaime Marie Gibson | 6058573 | 4 | 11/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer A Hyde | 4960610 | 4 | 11/02/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Charles Soyka | 2597510 | 3 | 10/16/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Jensen | 5785719 | 1 | 10/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Dennis | 7578812 | 1 | 09/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Gilbert Snow | 860465 | 5 | 08/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |