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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Arthur Whitmore | 5907896 | 1 | 06/29/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian James Ferrette | 5514587 | 2 | 04/22/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Pamela Gayle Schwanz | 6043049 | 1 | 04/07/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kerri Carnahan | 6544214 | 2 | 02/02/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Veronica Lopez | 6012762 | 4 | 01/21/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn A Zolcak | 4926983 | 1 | 01/13/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Spencer Lawrence Way | 4059416 | 1 | 11/07/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Earl Tinker | 6427064 | 3 | 08/18/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Veronica Lopez | 6012762 | 4 | 08/14/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Heather N Cousin | 3209746 | 2 | 04/28/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |