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 |
|---|---|---|---|---|---|---|---|---|
| Luke Pawelkiewicz | 5109202 | 1 | 08/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Travis Fortier | 7210149 | 1 | 08/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lorrie Marie Dimmick | 4503545 | 1 | 08/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Brendan Marsden | 7252915 | 1 | 07/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn E Drab | 2530795 | 1 | 06/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Veronica Lopez | 6012762 | 4 | 06/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Timothy Albertson | 2076640 | 1 | 06/25/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Veronica Lopez | 6012762 | 4 | 06/22/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sonya King | 1397578 | 3 | 06/21/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Patrick Sullivan | 5476954 | 4 | 06/19/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |