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 |
|---|---|---|---|---|---|---|---|---|
| Knute Harold Lee | 7703265 | 4 | 11/18/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Emily Luanne Shealy Ergle | 5463960 | 1 | 11/12/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ricky David Taylor | 1596514 | 7 | 11/12/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ricky David Taylor | 1596514 | 7 | 11/12/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bonnie Lynn Obarski | 6590192 | 1 | 11/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Adam Morgenstern | 5669959 | 2 | 11/07/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Lee | 7527467 | 1 | 10/23/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Duane Robert Merchant | 2164065 | 2 | 10/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Joseph Horne | 1621400 | 4 | 10/21/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Patrick Sullivan | 5476954 | 4 | 10/15/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |