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 |
|---|---|---|---|---|---|---|---|---|
| Brittney Coffman | 7206088 | 7 | 10/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John A Dimatteo | 7293220 | 3 | 10/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brittney Coffman | 7206088 | 7 | 09/25/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carolyn Saunders | 2675139 | 3 | 09/23/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John A Dimatteo | 7293220 | 3 | 09/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward John Ryan | 7479944 | 1 | 09/17/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen F Ricketts | 5302973 | 3 | 09/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Allen Michael Wolfe | 6321605 | 5 | 08/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Allen Michael Wolfe | 6321605 | 5 | 08/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler R Holden | 5609436 | 2 | 08/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |