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 |
|---|---|---|---|---|---|---|---|---|
| Tomika N Holland | 4499423 | 6 | 07/12/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Alan Somerman | 1006178 | 1 | 04/12/2001 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandra J Koenig | 6061704 | 3 | 03/12/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandra J Koenig | 6061704 | 3 | 09/12/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sandra J Koenig | 6061704 | 3 | 03/04/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leonard Claude Wright | 2845304 | 1 | 01/01/1996 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carmen Leanne Allen | 3243476 | 3 | 12/06/1994 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |