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 |
|---|---|---|---|---|---|---|---|---|
| Callie Meagan Ford Cetingok | 5700438 | 1 | 11/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Warbritton | 4242288 | 3 | 07/23/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William F McKernan | 4615214 | 5 | 03/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Morin | 5551084 | 1 | 03/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Feinstein | 6063348 | 1 | 10/12/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Dimeglio | 6075308 | 2 | 08/01/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Monica Sinha | 3234116 | 4 | 05/29/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Daniel Cesmirosky | 1427459 | 1 | 04/06/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Warbritton | 4242288 | 3 | 04/04/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mario Christopher Melendez | 5747309 | 1 | 03/30/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |