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 |
|---|---|---|---|---|---|---|---|---|
| Shadis Tiedemann | 5984489 | 1 | 04/08/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tomika N Holland | 4499423 | 6 | 02/04/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith Allen Wagner | 2313696 | 2 | 11/21/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carmen Leanne Allen | 3243476 | 3 | 04/09/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen W Franklin | 5472324 | 2 | 01/17/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Sangmin Chung | 2449187 | 2 | 01/10/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dimitrios Kiniris | 3112292 | 4 | 01/10/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Darrell Green | 2805405 | 1 | 10/12/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Walter Roman Pierz | 2115546 | 2 | 09/11/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Katie Renae Cornell | 5985349 | 2 | 07/24/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |