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 |
|---|---|---|---|---|---|---|---|---|
| Corey M Souliotis | 5920866 | 1 | 12/02/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Candace Helene Berkman | 3161632 | 6 | 11/15/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 11/08/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kimberly M Zeigler | 4678470 | 2 | 10/03/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kerri Carnahan | 6544214 | 2 | 08/26/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas M Stafford | 4542958 | 1 | 08/12/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Candace Helene Berkman | 3161632 | 6 | 06/08/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Gerard Morrongiello | 3041406 | 4 | 04/22/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel P D'Arrigo | 1034478 | 4 | 04/08/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Russell Lucas | 1092239 | 2 | 02/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |