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 |
|---|---|---|---|---|---|---|---|---|
| Huyen Dieu Nguyen-Stewart | 7249376 | 1 | 01/31/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Luray Spencer Bucholtz | 6949995 | 5 | 11/22/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Christopher J Ellensohn | 6018478 | 1 | 08/06/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jaime Marie Gibson | 6058573 | 4 | 07/11/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Boanerges Saavedra | 5650024 | 1 | 11/05/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Luray Spencer Bucholtz | 6949995 | 5 | 06/01/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Gilbert Snow | 860465 | 5 | 02/12/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Luray Spencer Bucholtz | 6949995 | 5 | 11/29/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Luray Spencer Bucholtz | 6949995 | 5 | 10/27/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Celma F A Capuz-Weaver | 7342248 | 1 | 08/21/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |