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 |
|---|---|---|---|---|---|---|---|---|
| Rocio Tapia | 5523793 | 1 | 09/16/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Edward Johnson | 2363510 | 2 | 06/25/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Kevin Mathesen | 5799049 | 2 | 06/25/2024 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Lauren Catherine McNeill | 5674219 | 1 | 06/21/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brad H Davidoff | 4860150 | 1 | 06/05/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James W Pruitt | 5808107 | 1 | 06/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark A Hamilton | 6800598 | 1 | 05/20/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eugene Shkolnikov | 4218121 | 1 | 05/16/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Shafir | 4507998 | 1 | 05/16/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Joseph Mathesen | 6781208 | 1 | 04/25/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |