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 |
|---|---|---|---|---|---|---|---|---|
| Deanna L Lear | 7487874 | 1 | 03/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emil Nguyen | 7059643 | 8 | 02/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lara Hagan Soward Ryan | 6793000 | 1 | 02/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lauren Baum | 7874419 | 1 | 02/25/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Scott Wagner | 6263358 | 1 | 02/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charmaine R Corbin | 3268267 | 3 | 02/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tihana Medic | 6872608 | 4 | 02/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Allan Staat | 1572403 | 8 | 02/17/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Larry Wayne Reynolds | 1630749 | 2 | 02/17/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marcus J Hunter | 6579804 | 5 | 02/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |