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 |
|---|---|---|---|---|---|---|---|---|
| Marshall S Wood | 4635045 | 4 | 01/07/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ricky David Taylor | 1596514 | 7 | 12/18/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 12/12/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Patrick Sullivan | 5476954 | 4 | 12/11/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jessica Jean Janenko | 6098879 | 1 | 12/10/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jennifer Feliberty | 3169998 | 1 | 12/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael C Smith | 6424227 | 3 | 10/31/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Deron Thomas Braun | 3039768 | 2 | 10/11/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Maxwell Lloyd | 5705360 | 2 | 09/28/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wilhelmina Cherry | 3138289 | 2 | 09/18/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |