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 |
|---|---|---|---|---|---|---|---|---|
| David A Deegan | 4761146 | 1 | 01/05/2017 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 01/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cameron Henry Kremers | 7005253 | 1 | 01/05/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Allan Staat | 1572403 | 8 | 01/04/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Loren Li Hsiao | 4381962 | 1 | 12/28/2016 | Customer Dispute | Withdrawn | $6,404.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 12/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Natasha Nicole Price O Reilly | 5933179 | 1 | 12/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Phimthasak | 7502599 | 1 | 12/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hannah G Alexander | 5747438 | 1 | 12/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Adams Wells | 1196164 | 1 | 12/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |