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 |
|---|---|---|---|---|---|---|---|---|
| Rachel Dix | 6385936 | 1 | 02/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Royce Lee White | 1751375 | 1 | 01/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 01/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus J Hunter | 6579804 | 5 | 01/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chad Lochrie | 5703355 | 1 | 01/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Gilbert Snow | 860465 | 5 | 01/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy E Baez | 3144438 | 3 | 01/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 01/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 12/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Natasha Nicole Price O Reilly | 5933179 | 1 | 12/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |