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 |
|---|---|---|---|---|---|---|---|---|
| John Eugene Kompaniez | 2799270 | 2 | 02/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Conner Melius | 7783101 | 9 | 01/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David F Abney | 6637061 | 1 | 01/20/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Allan Roth | 1156736 | 1 | 01/19/2023 | Customer Dispute | Denied | $13,116.30 | $0.00 | See FINRA Report |
| Keith Volk Llanas | 4992666 | 2 | 01/16/2023 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Benjamin Scott Taylor | 6506363 | 2 | 01/10/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Canning | 6510478 | 1 | 01/05/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip H Pedlow | 4973931 | 6 | 01/04/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 12/30/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Preston Underwood | 2206763 | 4 | 12/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |