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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Gilbert Snow | 860465 | 5 | 04/21/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jamie Michele Mannarelli | 6791668 | 1 | 04/20/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 04/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Jordan Asel | 5225057 | 7 | 04/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tiffany Helene Monasterio | 3187259 | 1 | 04/10/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stewart Miller | 6144781 | 1 | 04/05/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Amber Angel | 6289490 | 1 | 03/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jalene Lynn van Epps | 6883093 | 1 | 03/27/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sean Michael Flynn | 2764641 | 1 | 03/24/2017 | Customer Dispute | Denied | $11,158.20 | $0.00 | See FINRA Report |
| Richard D Busacca | 2644734 | 1 | 03/14/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |