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 |
|---|---|---|---|---|---|---|---|---|
| Derek Oster | 7519395 | 1 | 03/29/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sonya King | 1397578 | 3 | 03/25/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen M Turner | 1994646 | 5 | 03/17/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Trevor Spiegel | 7346924 | 4 | 03/16/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob C Hult | 6942299 | 2 | 12/28/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Charles Soyka | 2597510 | 3 | 11/30/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Lee Laveaux | 7326136 | 3 | 11/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Lee Laveaux | 7326136 | 3 | 11/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer C Campbell | 6719809 | 1 | 11/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Warbritton | 4242288 | 3 | 11/01/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |