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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Allen Fikse | 5667136 | 1 | 03/28/2016 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Ellen Sue Singer | 1924311 | 1 | 03/24/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 03/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lars Jeffrey Ronten | 6917304 | 2 | 03/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 03/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert P Mohr | 5751709 | 1 | 03/03/2016 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| Charles Edward Foster | 1984870 | 1 | 03/02/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Aubrey Dodd | 7272952 | 2 | 02/24/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Joseph Scarpitti | 5649582 | 3 | 02/23/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Logan D Burns | 6410789 | 13 | 02/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |