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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Joseph Jelso | 3224419 | 1 | 10/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Alan Knox | 2565576 | 3 | 10/09/2015 | Customer Dispute | Settled | $148,000.00 | $0.00 | See FINRA Report |
| Ashley G Wilson | 3012696 | 1 | 10/07/2015 | Customer Dispute | Settled | $148,000.00 | $0.00 | See FINRA Report |
| Colton John Farrell | 7304505 | 1 | 10/01/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 09/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jordan Stephen Smith | 5567101 | 3 | 09/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Langston Laury | 5081969 | 5 | 09/21/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Vales | 7609981 | 2 | 09/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Alan Neal | 3176903 | 3 | 09/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adrienne Renee Bukovsky | 7183221 | 1 | 09/03/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |