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 |
|---|---|---|---|---|---|---|---|---|
| Megan J Rutherford | 6719728 | 1 | 10/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Ross Olsen | 5283245 | 7 | 09/30/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Logan D Burns | 6410789 | 13 | 09/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher M Moore | 5535728 | 1 | 09/27/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brandon Alan Neal | 3176903 | 3 | 09/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kipp Robert Hinz | 7201314 | 1 | 09/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Joseph Kennedy | 6256487 | 2 | 09/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Andrew Sandefer | 3146602 | 1 | 09/12/2016 | Customer Dispute | Closed-No Action | $5,036.97 | $0.00 | See FINRA Report |
| Akiko Kobayashi | 7363092 | 7 | 09/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Akiko Kobayashi | 7363092 | 7 | 09/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |