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 |
|---|---|---|---|---|---|---|---|---|
| Monica Sinha | 3234116 | 4 | 02/16/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Scarpitti | 5649582 | 3 | 01/12/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Tully Whalen | 1005750 | 1 | 10/25/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Horta | 5522252 | 3 | 09/06/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Alan Evans | 6671224 | 1 | 05/20/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nguyen Khoi Tran | 5717280 | 2 | 04/14/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gene Allen Larock | 2065604 | 2 | 02/25/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Albert Koob | 273771 | 2 | 02/01/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Edwin Wise | 3256936 | 2 | 11/20/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Edwin Wise | 3256936 | 2 | 08/19/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |