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 |
|---|---|---|---|---|---|---|---|---|
| Adam Reed | 6999643 | 1 | 05/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Jay Paul | 7303534 | 1 | 05/30/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Luray Spencer Bucholtz | 6949995 | 5 | 05/26/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jewel Dean Goodwin | 2472627 | 1 | 05/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Ross Olsen | 5283245 | 7 | 05/22/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Connelly Carlos | 3133643 | 1 | 05/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Theodore Kanakaris | 5851823 | 1 | 05/11/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ben J Bunfill | 5056294 | 1 | 05/09/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jennifer A Hyde | 4960610 | 4 | 05/09/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David A Herber | 6334403 | 1 | 04/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |