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 |
|---|---|---|---|---|---|---|---|---|
| Todd Michael Tripp | 4577826 | 1 | 12/28/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven J Lynch | 3089723 | 2 | 10/12/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Edwin Westover | 2649742 | 1 | 09/29/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jennifer L Lombardo | 3148159 | 2 | 08/08/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles H Armstrong | 4768518 | 1 | 07/01/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Todd Lounsberry | 6112395 | 1 | 02/20/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dean James Ripley | 2489313 | 1 | 10/01/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Scott Richards | 4218742 | 1 | 03/18/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Keith Jenkins | 2233417 | 2 | 05/23/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Thomas Menold | 1148839 | 1 | 04/21/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |