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 |
|---|---|---|---|---|---|---|---|---|
| Aubrey Dodd | 7272952 | 2 | 12/21/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Williams | 6363857 | 2 | 12/13/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Williams | 6363857 | 2 | 11/29/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jerome William Burton | 6091867 | 1 | 10/14/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph E Schumaker | 6277873 | 1 | 08/25/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Terrance David Lumpkins | 4710748 | 3 | 04/08/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Oster | 7519395 | 1 | 03/29/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob C Hult | 6942299 | 2 | 12/28/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Charles Soyka | 2597510 | 3 | 11/30/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Warbritton | 4242288 | 3 | 11/01/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |