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 |
|---|---|---|---|---|---|---|---|---|
| Hanniel Chege Nduati | 2712233 | 6 | 02/23/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Katherine Mary Ernsting | 6721634 | 1 | 11/29/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Michael Harrington | 6860242 | 4 | 11/08/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John C Morecraft | 4663379 | 4 | 10/10/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brendan Jerome Powers | 7521532 | 1 | 08/23/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tara M Wallace | 7575890 | 1 | 06/09/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Rudolf Harnisch | 2456806 | 2 | 05/09/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Phillipson | 5164025 | 1 | 05/02/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark David Gill | 6040500 | 1 | 04/07/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Eugene Kompaniez | 2799270 | 2 | 02/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |