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 |
|---|---|---|---|---|---|---|---|---|
| Akiko Kobayashi | 7363092 | 7 | 09/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Akiko Kobayashi | 7363092 | 7 | 09/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Akiko Kobayashi | 7363092 | 7 | 09/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Akiko Kobayashi | 7363092 | 7 | 09/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Akiko Kobayashi | 7363092 | 7 | 09/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Ryan Gardiner | 5904431 | 1 | 08/18/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 07/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Michelle Lautz | 2699423 | 1 | 07/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Stockton | 6485595 | 4 | 07/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 07/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |