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 |
|---|---|---|---|---|---|---|---|---|
| David Perez | 3220942 | 4 | 08/26/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carl J Serafino | 4581310 | 3 | 08/09/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Austin Russell Warner | 1637689 | 4 | 08/08/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 07/12/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary William Britto | 1970691 | 4 | 05/25/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary William Britto | 1970691 | 4 | 05/25/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Perez | 3220942 | 4 | 04/18/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel P D'Arrigo | 1034478 | 4 | 04/16/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William H Calloway | 7703576 | 2 | 04/16/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Aubrey Dodd | 7272952 | 2 | 02/24/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |