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 |
|---|---|---|---|---|---|---|---|---|
| William Langston Laury | 5081969 | 5 | 08/14/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Sarah Suzanne Norman | 5470546 | 5 | 08/12/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Armando M Bustamante | 6304312 | 1 | 07/19/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Ralph William Stockemer | 1844056 | 1 | 06/25/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Joseph Kevin Mathesen | 5799049 | 2 | 06/25/2024 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Aaron Morgan Bell | 5432615 | 1 | 06/03/2024 | Customer Dispute | Pending | $124,000.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 04/30/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Leslie D Wood | 4759719 | 1 | 04/15/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Karen Irene Schmidt | 5669963 | 2 | 03/11/2024 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| Phillip A Pickett | 4739154 | 1 | 02/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |