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 |
|---|---|---|---|---|---|---|---|---|
| Michael Shafir | 4507998 | 1 | 05/16/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tihana Medic | 6872608 | 4 | 05/07/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeri Jeanine Evans | 4868990 | 8 | 04/30/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jessica R O'Neal | 7468104 | 2 | 04/26/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brendan Hugh McGuigan | 6502435 | 2 | 04/25/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Joseph Mathesen | 6781208 | 1 | 04/25/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler Douglas White | 5621102 | 1 | 04/22/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Carlson Gillespie | 6563626 | 1 | 04/22/2024 | Customer Dispute | Denied | $6,953.00 | $0.00 | See FINRA Report |
| Leslie D Wood | 4759719 | 1 | 04/15/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Maureen Joann D'Amico | 2283701 | 2 | 04/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |