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 |
|---|---|---|---|---|---|---|---|---|
| Huyen Dieu Nguyen-Stewart | 7249376 | 1 | 01/31/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Raymond Courtney Torres Salas | 6413546 | 3 | 11/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luray Spencer Bucholtz | 6949995 | 5 | 11/22/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Anthony Jillson | 6744976 | 7 | 11/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Jillson | 6744976 | 7 | 11/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carrie Ann Wolak | 5894718 | 7 | 10/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jaime Marie Gibson | 6058573 | 4 | 09/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carrie Ann Wolak | 5894718 | 7 | 09/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Travis Rinehart | 5913034 | 2 | 09/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Allan Staat | 1572403 | 8 | 08/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |