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 |
|---|---|---|---|---|---|---|---|---|
| Todd Christopher Bell | 6236677 | 1 | 03/04/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Oscar W Rodriguez | 6049118 | 1 | 02/29/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Benjamin Gillette | 5049195 | 1 | 02/26/2024 | Customer Dispute | Settled | $20,438.00 | $0.00 | See FINRA Report |
| Maureen Joann D'Amico | 2283701 | 2 | 02/26/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Yuqing Lin | 5939096 | 2 | 02/26/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hanniel Chege Nduati | 2712233 | 6 | 02/23/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy John Molnar | 1487964 | 2 | 02/06/2024 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Phillip A Pickett | 4739154 | 1 | 02/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Peterson | 1333145 | 1 | 02/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jose Torres | 6330848 | 1 | 02/02/2024 | Customer Dispute | Closed-No Action | $9,993.00 | $0.00 | See FINRA Report |