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 |
|---|---|---|---|---|---|---|---|---|
| Mauricio Alberto Cano | 6299499 | 1 | 08/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Irene Schmidt | 5669963 | 2 | 08/16/2018 | Customer Dispute | Settled | $317,762.00 | $0.00 | See FINRA Report |
| Alexandra Connor | 7429675 | 3 | 08/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Gilbert Snow | 860465 | 5 | 08/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Martha Shaunett Cooper-Hudson | 7247442 | 2 | 08/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Enrico Lim Aberion | 1509656 | 1 | 08/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 08/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Grisel Lopez | 7333982 | 1 | 08/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Chao | 7039924 | 1 | 08/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heath M Johnson | 4737219 | 1 | 08/03/2018 | Customer Dispute | Closed-No Action | $13,000.00 | $0.00 | See FINRA Report |