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 |
|---|---|---|---|---|---|---|---|---|
| Mark David Semrow | 2005173 | 1 | 09/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elana Suzanne Phillips | 6491675 | 1 | 09/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Allan Staat | 1572403 | 8 | 09/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Allen Michael Wolfe | 6321605 | 5 | 08/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Celma F A Capuz-Weaver | 7342248 | 1 | 08/21/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 07/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Bounnhaseng | 6202174 | 1 | 07/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Steven Goulet | 6741558 | 1 | 06/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus J Hunter | 6579804 | 5 | 06/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Anderson | 6552248 | 1 | 06/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |