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 |
|---|---|---|---|---|---|---|---|---|
| Bradley Mark Binversie | 6280309 | 1 | 03/08/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy E Baez | 3144438 | 3 | 03/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Bradley Pelo | 6495817 | 2 | 03/02/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sandy E Baez | 3144438 | 3 | 02/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Thomas Ferrier | 5651903 | 4 | 02/27/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Christopher Richards | 1133596 | 2 | 02/23/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Terrence Leonard Berling | 1021180 | 1 | 02/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth John Tooke | 4445478 | 3 | 02/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Blake Edwards | 6282300 | 1 | 02/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rachel Dix | 6385936 | 1 | 02/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |