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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Russo | 6987978 | 3 | 06/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Anthony Tarkington | 2298746 | 2 | 05/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer L Lombardo | 3148159 | 2 | 05/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Allen Carr | 1783157 | 3 | 05/19/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hanniel Chege Nduati | 2712233 | 6 | 05/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Joseph Horne | 1621400 | 4 | 05/04/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Martha Shaunett Cooper-Hudson | 7247442 | 2 | 04/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus J Hunter | 6579804 | 5 | 04/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Shin Woo Lerche | 6668631 | 5 | 04/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Kyle Dearing | 6187260 | 2 | 04/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |