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 |
|---|---|---|---|---|---|---|---|---|
| Brian Joel Blasczyk | 5784857 | 1 | 11/28/2022 | Customer Dispute | Withdrawn | $130,000.00 | $0.00 | See FINRA Report |
| Alap Balkrishna Patel | 5061206 | 1 | 06/16/2022 | Customer Dispute | Withdrawn | $600,000.00 | $0.00 | See FINRA Report |
| Kelvern Chen | 5679957 | 1 | 02/18/2022 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Jessica D Schock | 4530268 | 1 | 12/24/2018 | Customer Dispute | Withdrawn | $20,000.00 | $0.00 | See FINRA Report |
| Loren Li Hsiao | 4381962 | 1 | 12/28/2016 | Customer Dispute | Withdrawn | $6,404.00 | $0.00 | See FINRA Report |
| Joseph Patrick Collins | 853129 | 1 | 01/28/2002 | Customer Dispute | Withdrawn | $7,025.79 | $0.00 | See FINRA Report |
| Leonard John Gargagliano | 2331826 | 3 | 12/11/2001 | Customer Dispute | Withdrawn | $15,200.00 | $0.00 | See FINRA Report |
| Francis James Clement | 2850384 | 2 | 06/15/2000 | Customer Dispute | Withdrawn | $322.23 | $0.00 | See FINRA Report |