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 |
|---|---|---|---|---|---|---|---|---|
| Royce Lee White | 1751375 | 1 | 01/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 01/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Deborah Holcomb Travis | 1323469 | 1 | 01/24/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marcus J Hunter | 6579804 | 5 | 01/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer A Hyde | 4960610 | 4 | 01/20/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Chad Lochrie | 5703355 | 1 | 01/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Gilbert Snow | 860465 | 5 | 01/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Jay Williamson | 1589558 | 1 | 01/10/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Sandy E Baez | 3144438 | 3 | 01/06/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen F Ricketts | 5302973 | 3 | 01/05/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |