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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Collin Franco | 5979381 | 2 | 06/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Collin Franco | 5979381 | 2 | 06/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel James Bound | 4451492 | 3 | 06/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Allen Michael Wolfe | 6321605 | 5 | 05/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Portia Lynn Perkins | 7681580 | 1 | 05/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel James Bound | 4451492 | 3 | 05/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Francis Knapp | 6320280 | 2 | 04/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Gillespie | 2119116 | 1 | 04/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristin Amber Lindsey | 5799556 | 1 | 04/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carrie Ann Wolak | 5894718 | 7 | 04/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |