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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| Akiko Kobayashi | 7363092 | 7 | 09/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Perez | 3220942 | 4 | 08/26/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Benjamin Ryan Gardiner | 5904431 | 1 | 08/18/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carl J Serafino | 4581310 | 3 | 08/09/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Austin Russell Warner | 1637689 | 4 | 08/08/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Francis Knapp | 6320280 | 2 | 08/02/2016 | Customer Dispute | Settled | $9,685.65 | $0.00 | See FINRA Report |