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 |
|---|---|---|---|---|---|---|---|---|
| Conner Melius | 7783101 | 9 | 03/08/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 01/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 12/30/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John C Morecraft | 4663379 | 4 | 12/19/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 10/31/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Russell Lucas | 1092239 | 2 | 10/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evan James Trychta | 6165839 | 3 | 10/21/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evan James Trychta | 6165839 | 3 | 10/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dustin Stephens | 7099766 | 3 | 10/18/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heath Joseph Roehrich | 7116145 | 2 | 10/18/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |