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 |
|---|---|---|---|---|---|---|---|---|
| Rhonda L Hemphill | 6700091 | 1 | 11/02/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Alan Whaley | 2939614 | 1 | 10/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Allen Carr | 1783157 | 3 | 10/27/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luray Spencer Bucholtz | 6949995 | 5 | 10/27/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 10/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alejandra Pesquera Glover | 6915688 | 1 | 10/21/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Allan Staat | 1572403 | 8 | 10/19/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Terrance David Lumpkins | 4710748 | 3 | 10/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Calvin Michael Finn | 2190788 | 1 | 10/17/2017 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Tyrail Williams | 2016884 | 1 | 10/13/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |