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 |
|---|---|---|---|---|---|---|---|---|
| Eric Paul Barber | 4705367 | 2 | 03/23/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nikki M Regina | 4849508 | 1 | 02/10/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Carroll | 5763804 | 1 | 01/29/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Thomas Sweeney | 5185303 | 1 | 11/07/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jordan M Zamzow | 6730361 | 1 | 10/28/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nguyen Khoi Tran | 5717280 | 2 | 09/29/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Blake Allen Martin | 5433850 | 2 | 07/28/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Glenn Henri Perrault | 6110714 | 2 | 04/19/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Luke T Sturges | 4587895 | 1 | 03/09/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wesley J Petteway | 6302320 | 3 | 03/06/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |