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 |
|---|---|---|---|---|---|---|---|---|
| Austin Russell Warner | 1637689 | 4 | 09/13/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jordan Laser | 3277854 | 2 | 08/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Justin Matthew Williams | 6914302 | 2 | 08/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Vance Wilson | 6327310 | 2 | 07/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Terri Lynn Crowley | 2546319 | 3 | 06/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John C Tortorella | 4694794 | 2 | 06/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sarah Suzanne Norman | 5470546 | 5 | 06/10/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jairo V Rodriguez | 1532037 | 6 | 05/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Christopher Richards | 1133596 | 2 | 05/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jairo V Rodriguez | 1532037 | 6 | 05/02/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |