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 |
|---|---|---|---|---|---|---|---|---|
| Daniel C Schmid | 6658306 | 1 | 12/23/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Paul Rasak | 6119442 | 4 | 12/17/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Paul Rasak | 6119442 | 4 | 09/24/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lars Jeffrey Ronten | 6917304 | 2 | 08/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Coquyt | 6611042 | 1 | 08/08/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Paul Rasak | 6119442 | 4 | 06/17/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Suzanne Norman | 5470546 | 5 | 02/15/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer A Hyde | 4960610 | 4 | 11/02/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Charles Soyka | 2597510 | 3 | 10/16/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Martha Shaunett Cooper-Hudson | 7247442 | 2 | 08/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |