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 |
|---|---|---|---|---|---|---|---|---|
| Roy Ramon Cambronero | 6489579 | 3 | 06/26/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Reed | 6999643 | 1 | 05/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Ross Olsen | 5283245 | 7 | 05/22/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer A Hyde | 4960610 | 4 | 05/09/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard D Busacca | 2644734 | 1 | 03/14/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Mark Binversie | 6280309 | 1 | 03/08/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Bradley Pelo | 6495817 | 2 | 03/02/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Christopher Richards | 1133596 | 2 | 02/23/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Dorfman | 6330234 | 1 | 12/09/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Michael Anderson | 6199576 | 1 | 10/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |