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 |
|---|---|---|---|---|---|---|---|---|
| David F Abney | 6637061 | 1 | 01/20/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Benjamin Scott Taylor | 6506363 | 2 | 01/10/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Canning | 6510478 | 1 | 01/05/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Preston Underwood | 2206763 | 4 | 12/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Erik Paul Gutierrez | 7209405 | 1 | 10/19/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen M Turner | 1994646 | 5 | 07/15/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew A Johnson | 4624467 | 4 | 07/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cristy Lane Boysel | 4285529 | 1 | 06/24/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brendan Hugh McGuigan | 6502435 | 2 | 06/17/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicole K Garner | 7377584 | 1 | 06/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |