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 |
|---|---|---|---|---|---|---|---|---|
| Tara M Wallace | 7575890 | 1 | 06/09/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John D Florio | 5863873 | 1 | 06/08/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alyssa Jo Skoyen Chance | 7658461 | 1 | 06/08/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Garry Christensen | 1660074 | 1 | 06/05/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Evan Dunbar | 7452906 | 1 | 06/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Paul Lenahan | 7420125 | 7 | 05/30/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Mitchell David Letwin | 2843830 | 1 | 05/22/2023 | Customer Dispute | Closed-No Action | $28,000.00 | $0.00 | See FINRA Report |
| Evan James Trychta | 6165839 | 3 | 05/22/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Paul Lenahan | 7420125 | 7 | 05/18/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jonathan Paul Lenahan | 7420125 | 7 | 05/11/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |