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 |
|---|---|---|---|---|---|---|---|---|
| Conner Melius | 7783101 | 9 | 03/24/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica R O'Neal | 7468104 | 2 | 03/23/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 03/22/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Paul Cerruti | 1654336 | 1 | 03/22/2023 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 03/09/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 03/08/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cindy L Gunawan | 4801153 | 3 | 03/01/2023 | Customer Dispute | Denied | $6,639.00 | $0.00 | See FINRA Report |
| Scott S Niekamp | 3277810 | 7 | 02/23/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Brian Jesse | 6654709 | 1 | 02/17/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Christopher Strum | 6095636 | 1 | 02/07/2023 | Customer Dispute | Denied | $12,079.30 | $0.00 | See FINRA Report |