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 |
|---|---|---|---|---|---|---|---|---|
| Luray Spencer Bucholtz | 6949995 | 5 | 05/26/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jewel Dean Goodwin | 2472627 | 1 | 05/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Connelly Carlos | 3133643 | 1 | 05/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theodore Kanakaris | 5851823 | 1 | 05/11/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David A Herber | 6334403 | 1 | 04/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Gilbert Snow | 860465 | 5 | 04/21/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jamie Michele Mannarelli | 6791668 | 1 | 04/20/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 04/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 04/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tiffany Helene Monasterio | 3187259 | 1 | 04/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |