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 |
|---|---|---|---|---|---|---|---|---|
| Amber Angel | 6289490 | 1 | 03/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy E Baez | 3144438 | 3 | 03/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy E Baez | 3144438 | 3 | 02/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Terrence Leonard Berling | 1021180 | 1 | 02/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth John Tooke | 4445478 | 3 | 02/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Blake Edwards | 6282300 | 1 | 02/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rachel Dix | 6385936 | 1 | 02/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Royce Lee White | 1751375 | 1 | 01/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 01/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus J Hunter | 6579804 | 5 | 01/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |