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 |
|---|---|---|---|---|---|---|---|---|
| Sirena Paige Thering | 7595284 | 1 | 09/05/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph E Schumaker | 6277873 | 1 | 08/25/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 08/16/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edouard M Libessart | 6936237 | 1 | 06/16/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zachary Robert McKinney | 7074518 | 1 | 05/24/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Foshee | 7635136 | 2 | 05/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 04/30/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Terrance David Lumpkins | 4710748 | 3 | 04/08/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Trevor Spiegel | 7346924 | 4 | 04/01/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Foshee | 7635136 | 2 | 04/01/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |