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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Christman | 6420254 | 1 | 10/13/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tracie L Mindel | 2827683 | 1 | 08/11/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eugene McKitterick Forsythe | 845722 | 1 | 01/08/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jarod Michael Morken | 7120406 | 1 | 11/16/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Q Scharff | 4584677 | 1 | 10/12/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Travis John Ross | 5566279 | 3 | 09/11/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brianna Rose Harnsberger | 7746592 | 1 | 07/29/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alin Patel | 7202197 | 1 | 07/16/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nathan Dyer Howell | 7816886 | 2 | 04/10/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Devin Mario Vazquez | 7134587 | 1 | 01/29/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |