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 |
|---|---|---|---|---|---|---|---|---|
| Neil Omaque | 7555832 | 1 | 10/23/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Corey Thomas Creel | 7126050 | 1 | 10/15/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Colton John Farrell | 7304505 | 1 | 10/01/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Micah Stephen Kowbel | 7088753 | 1 | 07/23/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Melissa Lee White | 6035318 | 1 | 07/02/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lauren Baum | 7874419 | 1 | 02/25/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Scipione | 6961117 | 1 | 01/21/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Monica Ann Rodriguez | 6770668 | 1 | 12/01/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Lee | 7527467 | 1 | 10/23/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alton Graham Mills | 6705910 | 1 | 08/28/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |