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 |
|---|---|---|---|---|---|---|---|---|
| Lorrie Marie Dimmick | 4503545 | 1 | 08/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Brendan Marsden | 7252915 | 1 | 07/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn E Drab | 2530795 | 1 | 06/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Veronica Lopez | 6012762 | 4 | 06/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sonya King | 1397578 | 3 | 06/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sue Xiong | 7421556 | 1 | 06/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle D Orrock | 6389715 | 1 | 05/24/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dustin Stephens | 7099766 | 3 | 05/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 04/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Shin Woo Lerche | 6668631 | 5 | 04/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |