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 |
|---|---|---|---|---|---|---|---|---|
| Katie Renae Cornell | 5985349 | 2 | 06/29/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Thomas Clifford | 5681508 | 3 | 10/14/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reginald Joe | 5415958 | 1 | 10/07/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Burton Thomas Armstrong | 4667095 | 1 | 07/07/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tomika N Holland | 4499423 | 6 | 03/22/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter James Povolny | 4158686 | 1 | 02/22/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey S Zalis | 2468939 | 1 | 06/08/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tomika N Holland | 4499423 | 6 | 12/23/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tommy Carl Gish | 1020813 | 1 | 02/19/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Adam Small | 2369056 | 1 | 02/10/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |