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 |
|---|---|---|---|---|---|---|---|---|
| Christopher K Snider | 5110309 | 1 | 01/15/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William F McKernan | 4615214 | 5 | 07/30/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Bruce Hendley | 1219950 | 4 | 06/13/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Albert Koob | 273771 | 2 | 06/13/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hollee S Kier | 3234167 | 1 | 02/21/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Bruce Hendley | 1219950 | 4 | 02/08/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Matthew Foyt | 3152720 | 1 | 01/22/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Pahl Erickson | 1210611 | 2 | 01/10/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kent Charles Saemann | 1030342 | 1 | 09/17/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn Francis Kelley | 2904132 | 2 | 08/03/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |