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 |
|---|---|---|---|---|---|---|---|---|
| Jairo V Rodriguez | 1532037 | 6 | 04/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ethan Nicolas Aparicio | 2760683 | 2 | 04/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael R Thomas | 4674915 | 1 | 04/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Kenyon Houg | 2660087 | 1 | 04/12/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Debra Lynn Neely | 4205273 | 1 | 04/10/2018 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 03/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip D Capretta | 1562112 | 1 | 03/29/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carrie Ann Wolak | 5894718 | 7 | 03/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen N Holloway | 4636467 | 1 | 03/28/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Amit Dipak Patel | 6003243 | 1 | 03/19/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |