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 |
|---|---|---|---|---|---|---|---|---|
| Justin Matthew Williams | 6914302 | 2 | 12/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dimitrios Kiniris | 3112292 | 4 | 12/18/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cassandra J Glover | 4458268 | 1 | 12/10/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Adam James Stoffey | 5932008 | 1 | 11/12/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kirk Lane Truex | 6393729 | 1 | 11/11/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Ross Olsen | 5283245 | 7 | 11/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Ross Olsen | 5283245 | 7 | 11/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carl J Serafino | 4581310 | 3 | 10/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Vance Wilson | 6327310 | 2 | 10/11/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anna S Beach | 6434958 | 1 | 10/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |