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 |
|---|---|---|---|---|---|---|---|---|
| Alma Sucic | 7259202 | 1 | 06/06/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Aaron Waxberg | 3007507 | 1 | 05/31/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Larry William Little | 3096701 | 1 | 04/12/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicole Ann Cantrill | 4574931 | 1 | 12/18/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chris Mark Glasscock | 4136563 | 1 | 12/16/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Michael Rubin | 5696367 | 1 | 11/27/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Todd Hoover | 5570069 | 2 | 11/02/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian M Cox | 4760404 | 1 | 10/07/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Wong | 7750249 | 1 | 08/02/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jordan Stephen Smith | 5567101 | 3 | 07/17/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |