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 |
|---|---|---|---|---|---|---|---|---|
| Ann Michelle Lautz | 2699423 | 1 | 07/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alberto Bolanos | 5494259 | 1 | 07/22/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 07/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Russo | 6987978 | 3 | 07/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Novak | 4246978 | 1 | 07/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Ashley Allen | 4527860 | 1 | 07/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Glenn M Graves | 6052358 | 1 | 06/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lianna Marie Cook | 7712025 | 2 | 06/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 06/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shane Patrick Delaney | 4262176 | 2 | 06/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |