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 |
|---|---|---|---|---|---|---|---|---|
| Jordan Stephen Smith | 5567101 | 3 | 09/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roy Ramon Cambronero | 6489579 | 3 | 08/17/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Scarpitti | 5649582 | 3 | 07/01/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Allen Carr | 1783157 | 3 | 05/19/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Joseph Horne | 1621400 | 4 | 05/04/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Jacob Schenkel | 4627022 | 1 | 01/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy J Ripperger | 5078094 | 1 | 01/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Adam Morgenstern | 5669959 | 2 | 11/07/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Joseph Horne | 1621400 | 4 | 10/21/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Owen Devillers | 2030783 | 1 | 07/15/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |