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FINRA Broker Disclosures for Northwestern Mutual Investment Services, LLC

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.

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Displaying 331-340 out of 498 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Paul Schuelke5476457205/20/2016RegulatoryFinal$0.00$0.00See FINRA Report
Ethan Nicolas Aparicio2760683205/11/2016FinancialFinal$0.00$0.00See FINRA Report
Kristy Lynn Warmerdam2412498105/06/2016FinancialFinal$0.00$0.00See FINRA Report
Jordan Stephen Smith5567101304/28/2016RegulatoryFinal$0.00$0.00See FINRA Report
Logan D Burns64107891304/26/2016FinancialFinal$0.00$0.00See FINRA Report
Raymond Courtney Torres Salas6413546304/20/2016RegulatoryFinal$0.00$0.00See FINRA Report
Logan D Burns64107891304/08/2016FinancialFinal$0.00$0.00See FINRA Report
Stephanie L Fleshman5504501103/31/2016FinancialFinal$0.00$0.00See FINRA Report
Todd M Temple4428027103/29/2016FinancialFinal$0.00$0.00See FINRA Report
Ellen Sue Singer1924311103/24/2016RegulatoryFinal$0.00$0.00See FINRA Report

498 Results

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