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 |
|---|---|---|---|---|---|---|---|---|
| Knute Harold Lee | 7703265 | 4 | 10/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Eugene Yoder | 2815591 | 1 | 10/02/2017 | Customer Dispute | Denied | $13,342.00 | $0.00 | See FINRA Report |
| Sarah Suzanne Norman | 5470546 | 5 | 09/29/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cody John Lewis | 6194840 | 1 | 09/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ellen Nichole Alderson | 6938822 | 1 | 09/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark David Semrow | 2005173 | 1 | 09/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Hurt | 6120944 | 1 | 09/25/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Samuel Bennett Leier Walker | 6945645 | 1 | 09/23/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Martin Williams | 7099042 | 1 | 09/23/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elana Suzanne Phillips | 6491675 | 1 | 09/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |