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 |
|---|---|---|---|---|---|---|---|---|
| Toney Ray Franklin | 6428775 | 2 | 09/10/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Veronica Lopez | 6012762 | 4 | 06/22/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Patrick Sullivan | 5476954 | 4 | 06/19/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Conrad McDermott | 6948724 | 1 | 05/11/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Michael Harrington | 6860242 | 4 | 05/07/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jairo V Rodriguez | 1532037 | 6 | 04/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip D Capretta | 1562112 | 1 | 03/29/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Karen N Holloway | 4636467 | 1 | 03/28/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Aaron Keith Stone | 2706732 | 1 | 12/22/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Gerard Morrongiello | 3041406 | 4 | 11/16/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |