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 |
|---|---|---|---|---|---|---|---|---|
| Matthew A Johnson | 4624467 | 4 | 07/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Blake Allen Martin | 5433850 | 2 | 07/07/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jason David Bertram | 3257243 | 1 | 07/05/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Cristy Lane Boysel | 4285529 | 1 | 06/24/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary M Shickora | 5594429 | 1 | 06/22/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brendan Hugh McGuigan | 6502435 | 2 | 06/17/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alap Balkrishna Patel | 5061206 | 1 | 06/16/2022 | Customer Dispute | Withdrawn | $600,000.00 | $0.00 | See FINRA Report |
| Edouard M Libessart | 6936237 | 1 | 06/16/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole K Garner | 7377584 | 1 | 06/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Erik R Gomez | 4997320 | 1 | 06/08/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |