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 |
|---|---|---|---|---|---|---|---|---|
| Alexey Bobrovnikov | 6460837 | 2 | 10/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Charles Ferrell | 6590959 | 1 | 10/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexey Bobrovnikov | 6460837 | 2 | 10/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 10/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marshall S Wood | 4635045 | 4 | 10/12/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Jelso | 3224419 | 1 | 10/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 09/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jordan Stephen Smith | 5567101 | 3 | 09/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Vales | 7609981 | 2 | 09/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Alan Neal | 3176903 | 3 | 09/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |