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 |
|---|---|---|---|---|---|---|---|---|
| Mark David Gill | 6040500 | 1 | 04/07/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tek R Wiegert | 4921197 | 1 | 04/06/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Rajesh Kantilal Shah | 6710348 | 1 | 04/06/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Foti Chrystopher Kanos | 5163431 | 1 | 04/04/2023 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 04/04/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 04/03/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ethan Everett Baker | 7053689 | 1 | 04/01/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kathleen M Turner | 1994646 | 5 | 03/30/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| John L Alcantara | 5658289 | 1 | 03/28/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 03/28/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |