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 |
|---|---|---|---|---|---|---|---|---|
| Gary William Britto | 1970691 | 4 | 11/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rhonda L Hemphill | 6700091 | 1 | 11/02/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Allan Staat | 1572403 | 8 | 10/19/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Terrance David Lumpkins | 4710748 | 3 | 10/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Knute Harold Lee | 7703265 | 4 | 10/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sarah Suzanne Norman | 5470546 | 5 | 09/29/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joshua Hurt | 6120944 | 1 | 09/25/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip H Pedlow | 4973931 | 6 | 09/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip H Pedlow | 4973931 | 6 | 09/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip H Pedlow | 4973931 | 6 | 09/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |