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 |
|---|---|---|---|---|---|---|---|---|
| Jay Edward Nachowitz | 2900462 | 1 | 09/30/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn R Mazander | 5787776 | 2 | 09/23/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jedediah L Porter | 5699487 | 1 | 09/09/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William H Calloway | 7703576 | 2 | 07/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Earl Tinker | 6427064 | 3 | 07/23/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brandon J Beza | 4642213 | 1 | 07/15/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Josh Ryan Jacobs | 5915747 | 2 | 06/05/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel P D'Arrigo | 1034478 | 4 | 05/08/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Vales | 7609981 | 2 | 02/13/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael E Phipps | 2359861 | 2 | 02/04/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |