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 |
|---|---|---|---|---|---|---|---|---|
| Robert Anthony Gillespie | 2119116 | 1 | 04/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristin Amber Lindsey | 5799556 | 1 | 04/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carrie Ann Wolak | 5894718 | 7 | 04/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Ryan Thompson | 6433519 | 1 | 04/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Dyer Howell | 7816886 | 2 | 04/10/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony Gargano | 1038720 | 1 | 03/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Walter Roman Pierz | 2115546 | 2 | 03/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Givin Holmes | 3265277 | 1 | 03/21/2019 | Customer Dispute | Denied | $760,574.00 | $0.00 | See FINRA Report |
| Jordan Laser | 3277854 | 2 | 03/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jaime Marie Gibson | 6058573 | 4 | 03/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |