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 |
|---|---|---|---|---|---|---|---|---|
| Alejandro Pastrana | 5968491 | 3 | 02/22/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard H Kasper | 6740821 | 1 | 02/12/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Danielle N Brosted | 4757484 | 1 | 02/02/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Evan Dalton Ryan | 7012898 | 1 | 01/13/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jay Travis Rinehart | 5913034 | 2 | 12/30/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl Dicesare | 5041586 | 1 | 12/22/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David John Worobec | 5448040 | 1 | 12/20/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin P Hoy | 5088895 | 1 | 11/28/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Allen Carr | 1783157 | 3 | 11/02/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Seymour Stadfeld | 5788050 | 2 | 10/16/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |