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 |
|---|---|---|---|---|---|---|---|---|
| Richard Anthony Gargano | 1038720 | 1 | 03/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jordan Laser | 3277854 | 2 | 03/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jairo V Rodriguez | 1532037 | 6 | 02/14/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew M Snyder | 5075805 | 1 | 01/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael C Smith | 6424227 | 3 | 12/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Deron Thomas Braun | 3039768 | 2 | 12/25/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jairo V Rodriguez | 1532037 | 6 | 11/08/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael D Morgan | 4364988 | 4 | 11/08/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Don Bailey | 2927796 | 1 | 11/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Austin Russell Warner | 1637689 | 4 | 10/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |