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 |
|---|---|---|---|---|---|---|---|---|
| Conner Melius | 7783101 | 9 | 03/22/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 03/09/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 03/08/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 02/23/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 01/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip H Pedlow | 4973931 | 6 | 01/04/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 12/30/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aubrey Dodd | 7272952 | 2 | 12/21/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Williams | 6363857 | 2 | 12/13/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Williams | 6363857 | 2 | 11/29/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |