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 Charles Soyka | 2597510 | 3 | 10/16/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Seymour Stadfeld | 5788050 | 2 | 10/10/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Austin Russell Warner | 1637689 | 4 | 10/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Jensen | 5785719 | 1 | 10/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stewart Douglas Keltner | 6089104 | 1 | 10/03/2018 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Henry Dennis | 7578812 | 1 | 09/24/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Toney Ray Franklin | 6428775 | 2 | 09/10/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shane T McMahon | 7343581 | 1 | 09/02/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Gilbert Snow | 860465 | 5 | 08/18/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Michael Caccomo | 6066313 | 1 | 08/17/2018 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |