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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Garland Lipscomb | 1371451 | 6 | 01/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Drew E Thompson | 4585426 | 1 | 11/22/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Neil Carr | 7589878 | 1 | 10/08/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Garland Lipscomb | 1371451 | 6 | 10/05/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brent Ryan Burke | 2650357 | 2 | 10/04/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alejandro Pastrana | 5968491 | 3 | 09/10/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Humberto Rios | 5955162 | 1 | 08/23/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alina Salaridze | 6143920 | 1 | 08/13/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heather N Cousin | 3209746 | 2 | 08/10/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jordan C Bruns | 6502422 | 1 | 06/24/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |