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 |
---|---|---|---|---|---|---|---|---|
David W Green | 5926869 | 2 | 07/15/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Paul Schuelke | 5476457 | 2 | 02/24/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Callie Meagan Ford Cetingok | 5700438 | 1 | 11/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Jeffrey Warbritton | 4242288 | 3 | 07/23/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
William F McKernan | 4615214 | 5 | 03/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Joseph Michael Morin | 5551084 | 1 | 03/14/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Margaret Feinstein | 6063348 | 1 | 10/12/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Anthony Joseph Dimeglio | 6075308 | 2 | 08/01/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Monica Sinha | 3234116 | 4 | 05/29/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Joseph Daniel Cesmirosky | 1427459 | 1 | 04/06/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |