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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Rafael Lovera | 7257499 | 1 | 06/15/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Jay Paul | 7303534 | 1 | 05/30/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cameron Henry Kremers | 7005253 | 1 | 01/05/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Perez | 3220942 | 4 | 10/30/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Decker | 6948188 | 3 | 10/09/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Frost | 6326717 | 2 | 08/01/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Weilert | 6435758 | 1 | 07/04/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Charles Soyka | 2597510 | 3 | 04/25/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nathan Dyer Howell | 7816886 | 2 | 04/07/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heath Rose | 3075521 | 1 | 01/04/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |