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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Ross Olsen | 5283245 | 7 | 12/07/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carrie Ann Wolak | 5894718 | 7 | 11/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer A Hyde | 4960610 | 4 | 11/21/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan W Brehm | 5056772 | 1 | 11/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Whaley | 2939614 | 1 | 10/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Allen Carr | 1783157 | 3 | 10/27/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 10/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cody John Lewis | 6194840 | 1 | 09/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ellen Nichole Alderson | 6938822 | 1 | 09/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark David Semrow | 2005173 | 1 | 09/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |