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 |
|---|---|---|---|---|---|---|---|---|
| Michael R Thomas | 4674915 | 1 | 04/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 03/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carrie Ann Wolak | 5894718 | 7 | 03/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Robert Stolp | 6712146 | 1 | 03/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dieuseul G Joseph | 6316166 | 1 | 03/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Russo | 6987978 | 3 | 02/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Gilbert Snow | 860465 | 5 | 02/12/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Carrie Ann Wolak | 5894718 | 7 | 02/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carrie Ann Wolak | 5894718 | 7 | 01/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrea Marie Arnold | 6159697 | 1 | 01/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |