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 |
|---|---|---|---|---|---|---|---|---|
| Mark Allan Staat | 1572403 | 8 | 08/31/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew R Krueger | 4799539 | 2 | 08/31/2015 | Customer Dispute | Denied | $11,391.00 | $0.00 | See FINRA Report |
| Timothy Joseph Kennedy | 6256487 | 2 | 08/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus J Hunter | 6579804 | 5 | 08/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roy Ramon Cambronero | 6489579 | 3 | 08/17/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Allen Bledsoe | 6026533 | 1 | 08/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Candace Helene Berkman | 3161632 | 6 | 08/06/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth John Tooke | 4445478 | 3 | 08/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Micah Stephen Kowbel | 7088753 | 1 | 07/23/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anna Krystyna Nelis | 5390594 | 1 | 07/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |