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 |
|---|---|---|---|---|---|---|---|---|
| Jerry Todd Fisher | 2613949 | 2 | 09/23/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Darren Z Pena | 6844050 | 1 | 08/17/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Thomas Ferrier | 5651903 | 4 | 06/08/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jerry Todd Fisher | 2613949 | 2 | 03/05/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Lee Canfield | 1414357 | 1 | 03/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Candace Helene Berkman | 3161632 | 6 | 02/24/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John C Tortorella | 4694794 | 2 | 02/18/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derrick Gale | 6469420 | 1 | 02/10/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Simon Leon Stambouli | 6813724 | 1 | 01/28/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marc David Rodriguez | 4540209 | 1 | 01/14/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |