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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Adam Morgenstern | 5669959 | 2 | 11/07/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Duane Robert Merchant | 2164065 | 2 | 10/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Joseph Horne | 1621400 | 4 | 10/21/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lianna Marie Cook | 7712025 | 2 | 10/15/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephanie Sue Berger | 4359886 | 2 | 10/13/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel P D'Arrigo | 1034478 | 4 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duane Robert Merchant | 2164065 | 2 | 09/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Owen Devillers | 2030783 | 1 | 07/15/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David W Green | 5926869 | 2 | 07/15/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Schuelke | 5476457 | 2 | 02/24/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |