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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Christman | 6420254 | 1 | 10/13/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dustin Stephens | 7099766 | 3 | 10/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 09/30/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeri Jeanine Evans | 4868990 | 8 | 09/30/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael David Dean | 6406677 | 1 | 09/26/2022 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Sirena Paige Thering | 7595284 | 1 | 09/05/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph E Schumaker | 6277873 | 1 | 08/25/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Conner Melius | 7783101 | 9 | 08/16/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tracie L Mindel | 2827683 | 1 | 08/11/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kathleen M Turner | 1994646 | 5 | 07/15/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |