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 |
|---|---|---|---|---|---|---|---|---|
| Kelli J Stiles | 2541141 | 1 | 06/15/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael McCarthy | 5115616 | 8 | 05/04/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael McCarthy | 5115616 | 8 | 04/04/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael McCarthy | 5115616 | 8 | 03/05/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Dee Courtney | 3140204 | 1 | 03/16/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael McCarthy | 5115616 | 8 | 10/03/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Garland Lipscomb | 1371451 | 6 | 05/31/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Demurr Coleman | 2035251 | 1 | 05/04/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine J Lindus | 2944490 | 1 | 02/15/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Garland Lipscomb | 1371451 | 6 | 01/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |