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 |
|---|---|---|---|---|---|---|---|---|
| Trevor Spiegel | 7346924 | 4 | 10/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Briana Elizabeth Conlan | 5641244 | 1 | 08/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melody Peters | 6983948 | 1 | 08/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 08/02/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arturo Rodriguez | 7455774 | 1 | 07/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 06/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Thomas Clifford | 5681508 | 3 | 06/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Thomas Clifford | 5681508 | 3 | 06/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Lee Laveaux | 7326136 | 3 | 05/14/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dana Alexandria Wallace | 7112361 | 2 | 04/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |