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 |
|---|---|---|---|---|---|---|---|---|
| Burton Thomas Armstrong | 4667095 | 1 | 07/07/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeremy Cole Sarby | 6596600 | 2 | 06/21/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clinton Harry Blood | 855260 | 1 | 06/06/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Garland Lipscomb | 1371451 | 6 | 05/31/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Demurr Coleman | 2035251 | 1 | 05/04/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael John Korinek | 1933873 | 2 | 04/29/2005 | Customer Dispute | Settled | $26,880.90 | $0.00 | See FINRA Report |
| Tomika N Holland | 4499423 | 6 | 03/22/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter James Povolny | 4158686 | 1 | 02/22/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Mark Thompson | 5205803 | 1 | 02/20/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Catherine J Lindus | 2944490 | 1 | 02/15/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |