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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Paul Peterson | 1333145 | 1 | 02/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Teresa Carol Knear Solorzano | 2562067 | 1 | 01/24/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 01/08/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sonya King | 1397578 | 3 | 12/19/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 11/09/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Heath Joseph Roehrich | 7116145 | 2 | 06/26/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jonathan Paul Lenahan | 7420125 | 7 | 06/13/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jonathan Paul Lenahan | 7420125 | 7 | 05/30/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jonathan Paul Lenahan | 7420125 | 7 | 05/18/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jonathan Paul Lenahan | 7420125 | 7 | 05/11/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |