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 |
|---|---|---|---|---|---|---|---|---|
| Mark Allan Staat | 1572403 | 8 | 02/17/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Larry Wayne Reynolds | 1630749 | 2 | 02/17/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael E Phipps | 2359861 | 2 | 02/11/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael C Smith | 6424227 | 3 | 02/03/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Sangmin Chung | 2449187 | 2 | 01/01/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Janet Goodling Barry | 5962925 | 1 | 12/23/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn R Mazander | 5787776 | 2 | 12/09/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Gerard Morrongiello | 3041406 | 4 | 11/25/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Knute Harold Lee | 7703265 | 4 | 11/18/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ricky David Taylor | 1596514 | 7 | 11/12/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |