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 |
|---|---|---|---|---|---|---|---|---|
| Armando M Bustamante | 6304312 | 1 | 07/19/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 04/30/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Benjamin Scott Taylor | 6506363 | 2 | 03/20/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Paul Lenahan | 7420125 | 7 | 03/15/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shaun William Wood | 6679996 | 1 | 01/26/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa Carol Knear Solorzano | 2562067 | 1 | 01/24/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 01/08/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sonya King | 1397578 | 3 | 12/19/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 11/09/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Patrick Phan | 7062845 | 1 | 10/23/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |