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 |
|---|---|---|---|---|---|---|---|---|
| Ricky David Taylor | 1596514 | 7 | 11/12/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Patrick Sullivan | 5476954 | 4 | 10/15/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary William Britto | 1970691 | 4 | 09/22/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Mark Pritchard | 6006991 | 1 | 08/15/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Ross Olsen | 5283245 | 7 | 07/14/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 07/02/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Greg Sorge | 6060486 | 3 | 06/23/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 04/28/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Jacob Kruswicki | 5804968 | 1 | 04/21/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jack H Green | 4838473 | 1 | 03/12/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |