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 |
|---|---|---|---|---|---|---|---|---|
| Andrew M Snyder | 5075805 | 1 | 01/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rob Nicholas Stone | 5143019 | 3 | 01/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sawyer C Green | 7522208 | 3 | 01/11/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Allen Michael Wolfe | 6321605 | 5 | 01/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shellique Davis | 6773954 | 1 | 01/09/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John J Long | 7214037 | 1 | 01/09/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael C Smith | 6424227 | 3 | 12/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Deron Thomas Braun | 3039768 | 2 | 12/25/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jessica D Schock | 4530268 | 1 | 12/24/2018 | Customer Dispute | Withdrawn | $20,000.00 | $0.00 | See FINRA Report |
| Christopher Joseph Myers | 7857215 | 1 | 12/21/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |