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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Patrick Slajchert | 2788538 | 1 | 06/02/2015 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Kevin Anthony Tarkington | 2298746 | 2 | 05/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer L Lombardo | 3148159 | 2 | 05/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Taylor Austin Klipp | 4727403 | 1 | 05/21/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Allen Carr | 1783157 | 3 | 05/19/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hanniel Chege Nduati | 2712233 | 6 | 05/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anne K Franklin | 4434257 | 1 | 05/18/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shaun Kerry Navis | 4946235 | 1 | 05/06/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Odunjo Copeland | 6476104 | 1 | 05/05/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Joseph Horne | 1621400 | 4 | 05/04/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |