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 |
|---|---|---|---|---|---|---|---|---|
| Knute Harold Lee | 7703265 | 4 | 06/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew A Johnson | 4624467 | 4 | 05/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John C Morecraft | 4663379 | 4 | 05/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brandi Alisha Hydleburg | 6658042 | 1 | 04/29/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sarah Suzanne Norman | 5470546 | 5 | 04/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Thomas Ferrier | 5651903 | 4 | 03/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jesse Devin Ziegler | 4989885 | 2 | 03/24/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip H Pedlow | 4973931 | 6 | 03/16/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Zoe Anne Hirsh | 7183700 | 1 | 03/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Yvonne Chepkemoi Eskinder | 7637223 | 1 | 12/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |