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 |
|---|---|---|---|---|---|---|---|---|
| Maureen Joann D'Amico | 2283701 | 2 | 04/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Yuqing Lin | 5939096 | 2 | 04/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tara Scalia Quilty | 3018242 | 1 | 04/01/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Edward Johnson | 2363510 | 2 | 03/20/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Kevin Mathesen | 5799049 | 2 | 03/20/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maureen A Odonnell | 1896357 | 2 | 03/04/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maureen Joann D'Amico | 2283701 | 2 | 02/26/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Yuqing Lin | 5939096 | 2 | 02/26/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Chan | 5027783 | 1 | 02/01/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maureen A Odonnell | 1896357 | 2 | 01/08/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |