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 |
|---|---|---|---|---|---|---|---|---|
| David Robert Sebring | 5596226 | 1 | 08/20/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Patrick Gargaro | 5720189 | 1 | 06/23/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Seth S Weinstein | 5006615 | 1 | 04/18/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Dale McDowell | 4961610 | 3 | 01/23/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley R Ernst | 4673794 | 3 | 01/13/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew R Olsen | 4599314 | 1 | 12/11/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Robert Farrell | 6151562 | 1 | 11/16/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Harrington | 6860242 | 4 | 10/16/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Tafolla | 6230697 | 1 | 08/27/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nathan Mahan | 6313377 | 1 | 04/29/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |