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 |
|---|---|---|---|---|---|---|---|---|
| Waidean Nathaniel | 2105700 | 8 | 02/27/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ricky David Taylor | 1596514 | 7 | 02/21/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Larry Wayne Reynolds | 1630749 | 2 | 02/12/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 02/06/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marshall S Wood | 4635045 | 4 | 01/28/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Ross Olsen | 5283245 | 7 | 01/24/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Austin Russell Warner | 1637689 | 4 | 01/06/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sanjay Avinash Patel | 7163149 | 2 | 11/04/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kimberly M Zeigler | 4678470 | 2 | 10/10/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Allan Khayyan Bell | 5121870 | 1 | 10/02/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |