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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Stockton | 6485595 | 4 | 01/22/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sujeiry Mejia | 6627680 | 1 | 01/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Gilbert Riley | 1031363 | 1 | 01/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sharon A Yoder | 4920053 | 2 | 01/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lauren Taylor Kotras | 5561619 | 1 | 01/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maureen Joy Phelps | 2655448 | 1 | 12/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Marie Begley | 7146612 | 1 | 12/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Alan Neal | 3176903 | 3 | 11/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 10/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 10/29/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |