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 |
|---|---|---|---|---|---|---|---|---|
| Kyle D Orrock | 6389715 | 1 | 05/24/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Kenyon Houg | 2660087 | 1 | 04/12/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Bradley Pelo | 6495817 | 2 | 03/19/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Travis John Ross | 5566279 | 3 | 01/06/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Thomas Ferrier | 5651903 | 4 | 01/03/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Keith Tieman | 5530919 | 1 | 12/11/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Francis Lyght | 6512122 | 2 | 12/11/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Ross Olsen | 5283245 | 7 | 12/07/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer A Hyde | 4960610 | 4 | 11/21/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Allen Carr | 1783157 | 3 | 10/27/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |