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 |
|---|---|---|---|---|---|---|---|---|
| Linda Phimthasak | 7502599 | 1 | 12/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hannah G Alexander | 5747438 | 1 | 12/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Adams Wells | 1196164 | 1 | 12/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Dorfman | 6330234 | 1 | 12/09/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Amber Marie Fuller | 6411401 | 1 | 11/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Scott Simpson | 2880777 | 1 | 11/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Velazquez | 4499952 | 1 | 10/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tihana Medic | 6872608 | 4 | 10/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Andrew Case | 6707710 | 3 | 10/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Andrew Case | 6707710 | 3 | 10/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |