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 |
|---|---|---|---|---|---|---|---|---|
| Mark Allan Staat | 1572403 | 8 | 09/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip H Pedlow | 4973931 | 6 | 09/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip H Pedlow | 4973931 | 6 | 09/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip H Pedlow | 4973931 | 6 | 09/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Allen Michael Wolfe | 6321605 | 5 | 08/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Celma F A Capuz-Weaver | 7342248 | 1 | 08/21/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Devin J Coyle | 6596589 | 1 | 08/20/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael A Lankford | 5360228 | 3 | 08/16/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Karen F Ricketts | 5302973 | 3 | 08/14/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael A Lankford | 5360228 | 3 | 08/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |