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 |
|---|---|---|---|---|---|---|---|---|
| Dimitrios Kiniris | 3112292 | 4 | 01/19/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ricky David Taylor | 1596514 | 7 | 01/08/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Allan Staat | 1572403 | 8 | 08/31/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Candace Helene Berkman | 3161632 | 6 | 08/06/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth John Tooke | 4445478 | 3 | 06/22/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Allan Staat | 1572403 | 8 | 06/09/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Taylor Austin Klipp | 4727403 | 1 | 05/21/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shaun Kerry Navis | 4946235 | 1 | 05/06/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Odunjo Copeland | 6476104 | 1 | 05/05/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kelvin J Roundtree | 6890006 | 1 | 04/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |