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 |
|---|---|---|---|---|---|---|---|---|
| Michael Bruce Hendley | 1219950 | 4 | 05/15/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Francis Obernesser | 2110836 | 2 | 09/06/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Anthony Tarkington | 2298746 | 2 | 07/12/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Allen Royal | 1801461 | 2 | 11/03/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert W Wylie | 4525501 | 2 | 09/12/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Pahl Erickson | 1210611 | 2 | 10/23/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Imlay | 1394219 | 1 | 11/30/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frederic Robert Marschner | 801457 | 1 | 01/01/1966 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |