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 |
|---|---|---|---|---|---|---|---|---|
| Gary Myrl Rademaker | 7013422 | 1 | 04/10/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Jerome Lathan | 7055480 | 1 | 03/19/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Pedro S Afonso | 6902899 | 1 | 03/09/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Fleming | 7397142 | 2 | 03/06/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Zachary I Alaoui | 6519721 | 1 | 01/11/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Borello | 7500476 | 1 | 01/06/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jaime Lawrence Vavrek | 6211291 | 1 | 11/23/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David W Wright | 5924542 | 1 | 08/27/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bo Khounhack Khamphanthong | 7625757 | 1 | 08/05/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alexis Renee Harris | 6800579 | 1 | 07/20/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |