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 |
|---|---|---|---|---|---|---|---|---|
| Scott S Niekamp | 3277810 | 7 | 08/02/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 06/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Grant Guin | 1912408 | 1 | 03/30/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tawni D Finke | 7383020 | 1 | 03/01/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Richard Kreiter | 2552964 | 1 | 12/23/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas James Myers | 7687616 | 2 | 11/30/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Vincent McCluskey | 2882205 | 1 | 10/21/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Francis James Clement | 2850384 | 2 | 03/11/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roy Ramon Cambronero | 6489579 | 3 | 03/06/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alejandro Pastrana | 5968491 | 3 | 01/10/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |