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 |
|---|---|---|---|---|---|---|---|---|
| Carrie Ann Wolak | 5894718 | 7 | 02/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carrie Ann Wolak | 5894718 | 7 | 01/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrea Marie Arnold | 6159697 | 1 | 01/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas James Mercado | 6912885 | 1 | 01/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin E Kehl | 3088674 | 1 | 01/11/2018 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Travis John Ross | 5566279 | 3 | 01/06/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Thomas Ferrier | 5651903 | 4 | 01/03/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Mark Mohnkern | 6020213 | 1 | 12/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aaron Keith Stone | 2706732 | 1 | 12/22/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Keith Tieman | 5530919 | 1 | 12/11/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |