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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Garland Lipscomb | 1371451 | 6 | 10/05/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brent Ryan Burke | 2650357 | 2 | 10/04/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alejandro Pastrana | 5968491 | 3 | 09/10/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kim S Jones | 4676323 | 1 | 05/20/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Frank Vandyke | 3121933 | 1 | 07/01/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Bruce Hendley | 1219950 | 4 | 03/07/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard John Gargagliano | 2331826 | 3 | 11/24/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brent Ryan Burke | 2650357 | 2 | 11/15/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William F McKernan | 4615214 | 5 | 08/05/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Lusso | 7002620 | 1 | 02/05/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |