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 |
|---|---|---|---|---|---|---|---|---|
| Ricky David Taylor | 1596514 | 7 | 01/11/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael D Morgan | 4364988 | 4 | 01/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Maxwell Lloyd | 5705360 | 2 | 11/15/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian James Ferrette | 5514587 | 2 | 10/26/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Randall Lee Smith | 1644114 | 1 | 07/21/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Candace Helene Berkman | 3161632 | 6 | 06/29/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael D Morgan | 4364988 | 4 | 06/23/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Greg Sorge | 6060486 | 3 | 05/24/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hanniel Chege Nduati | 2712233 | 6 | 03/26/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hanniel Chege Nduati | 2712233 | 6 | 03/10/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |