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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Gilbert Snow | 860465 | 5 | 08/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Enrico Lim Aberion | 1509656 | 1 | 08/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 08/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Grisel Lopez | 7333982 | 1 | 08/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Chao | 7039924 | 1 | 08/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luke Pawelkiewicz | 5109202 | 1 | 08/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Travis Fortier | 7210149 | 1 | 08/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lorrie Marie Dimmick | 4503545 | 1 | 08/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Brendan Marsden | 7252915 | 1 | 07/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn E Drab | 2530795 | 1 | 06/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |