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 |
|---|---|---|---|---|---|---|---|---|
| Vanesha Marie Wright | 4982080 | 1 | 12/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexandra Connor | 7429675 | 3 | 11/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jaime Marie Gibson | 6058573 | 4 | 11/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Philip Traibman | 2250192 | 1 | 11/13/2018 | Customer Dispute | Denied | $192,632.00 | $0.00 | See FINRA Report |
| Jairo V Rodriguez | 1532037 | 6 | 11/08/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael D Morgan | 4364988 | 4 | 11/08/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Don Bailey | 2927796 | 1 | 11/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Boanerges Saavedra | 5650024 | 1 | 11/05/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jennifer A Hyde | 4960610 | 4 | 11/02/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Jay Denhartog | 1974504 | 1 | 10/25/2018 | Customer Dispute | Settled | $7,131.33 | $0.00 | See FINRA Report |