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 |
|---|---|---|---|---|---|---|---|---|
| Jeri Jeanine Evans | 4868990 | 8 | 10/31/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Russell Lucas | 1092239 | 2 | 10/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Carl Leopold | 2680993 | 1 | 10/26/2022 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Evan James Trychta | 6165839 | 3 | 10/21/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evan James Trychta | 6165839 | 3 | 10/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erik Paul Gutierrez | 7209405 | 1 | 10/19/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dustin Stephens | 7099766 | 3 | 10/18/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heath Joseph Roehrich | 7116145 | 2 | 10/18/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Genevieve Lee Haughey | 7435968 | 1 | 10/15/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jerome William Burton | 6091867 | 1 | 10/14/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |