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 |
|---|---|---|---|---|---|---|---|---|
| Grace Cho Pham | 6936281 | 1 | 03/04/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin D Gantt | 4757055 | 1 | 02/19/2019 | Customer Dispute | Denied | $7,693.62 | $0.00 | See FINRA Report |
| Sarah Suzanne Norman | 5470546 | 5 | 02/15/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jairo V Rodriguez | 1532037 | 6 | 02/14/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rob Nicholas Stone | 5143019 | 3 | 02/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Rose | 7338552 | 2 | 02/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rob Nicholas Stone | 5143019 | 3 | 02/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Andrew Cohen | 4009637 | 1 | 02/05/2019 | Customer Dispute | Denied | $50,859.30 | $0.00 | See FINRA Report |
| Sharon F Ross | 5790650 | 2 | 01/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Devin Mario Vazquez | 7134587 | 1 | 01/29/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |