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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin Shin Woo Lerche | 6668631 | 5 | 04/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Kyle Dearing | 6187260 | 2 | 04/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Kyle Dearing | 6187260 | 2 | 04/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cristy Marie Tilley | 6899484 | 1 | 03/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 03/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Christine Larson | 2615405 | 1 | 03/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Deanna L Lear | 7487874 | 1 | 03/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 02/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lara Hagan Soward Ryan | 6793000 | 1 | 02/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Scott Wagner | 6263358 | 1 | 02/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |