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 |
|---|---|---|---|---|---|---|---|---|
| Philip H Pedlow | 4973931 | 6 | 08/20/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Candace Helene Berkman | 3161632 | 6 | 08/17/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Josh Ryan Jacobs | 5915747 | 2 | 08/07/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sanjay Avinash Patel | 7163149 | 2 | 07/24/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 07/16/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tim W Snow | 4820044 | 1 | 02/22/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jesse Garza | 7259155 | 2 | 02/15/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ricky David Taylor | 1596514 | 7 | 02/13/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marshall S Wood | 4635045 | 4 | 01/25/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Travis John Ross | 5566279 | 3 | 01/16/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |