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 |
|---|---|---|---|---|---|---|---|---|
| Baruch Levi | 2402678 | 1 | 03/20/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kraig Smith Stockdale | 2603714 | 1 | 01/04/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Francis Obernesser | 2110836 | 2 | 08/31/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Russell J Cahill | 3046261 | 1 | 05/03/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael McCarthy | 5115616 | 8 | 03/08/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael McCarthy | 5115616 | 8 | 11/29/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael McCarthy | 5115616 | 8 | 11/18/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael McCarthy | 5115616 | 8 | 10/12/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gene Allen Larock | 2065604 | 2 | 11/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Krutsch | 2205324 | 1 | 07/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |