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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Duffy Collins | 7153386 | 1 | 01/08/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob C Hult | 6942299 | 2 | 08/04/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Belliveau | 7140657 | 2 | 07/18/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Preston Underwood | 2206763 | 4 | 06/21/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Belliveau | 7140657 | 2 | 06/15/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Garry Christensen | 1660074 | 1 | 06/05/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Quinn Hogan | 1100687 | 1 | 04/18/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Arthur Graham | 5527133 | 1 | 04/18/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 02/23/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip H Pedlow | 4973931 | 6 | 01/04/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |