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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin Ryan Gardiner | 5904431 | 1 | 08/18/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Stockton | 6485595 | 4 | 07/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Schuelke | 5476457 | 2 | 05/20/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jordan Stephen Smith | 5567101 | 3 | 04/28/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Courtney Torres Salas | 6413546 | 3 | 04/20/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ellen Sue Singer | 1924311 | 1 | 03/24/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Edward Foster | 1984870 | 1 | 03/02/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Scarpitti | 5649582 | 3 | 02/23/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Stockton | 6485595 | 4 | 01/22/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marshall S Wood | 4635045 | 4 | 10/12/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |