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 |
|---|---|---|---|---|---|---|---|---|
| Gary William Britto | 1970691 | 4 | 05/25/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Schuelke | 5476457 | 2 | 05/20/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Doug Brian Cokinis | 4175037 | 1 | 05/19/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Ethan Nicolas Aparicio | 2760683 | 2 | 05/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Yousefzadeh | 5661720 | 1 | 05/10/2016 | Customer Dispute | Settled | $5,001.00 | $0.00 | See FINRA Report |
| Kristy Lynn Warmerdam | 2412498 | 1 | 05/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jordan Stephen Smith | 5567101 | 3 | 04/28/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 04/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Charles Soyka | 2597510 | 3 | 04/25/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon S Smith | 4835033 | 1 | 04/20/2016 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |