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 |
---|---|---|---|---|---|---|---|---|
Paul Schuelke | 5476457 | 2 | 05/20/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Ethan Nicolas Aparicio | 2760683 | 2 | 05/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Kristy Lynn Warmerdam | 2412498 | 1 | 05/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Jordan Stephen Smith | 5567101 | 3 | 04/28/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Logan D Burns | 6410789 | 13 | 04/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Raymond Courtney Torres Salas | 6413546 | 3 | 04/20/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Logan D Burns | 6410789 | 13 | 04/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Stephanie L Fleshman | 5504501 | 1 | 03/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Todd M Temple | 4428027 | 1 | 03/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
Ellen Sue Singer | 1924311 | 1 | 03/24/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |