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 |
|---|---|---|---|---|---|---|---|---|
| Waidean Nathaniel | 2105700 | 8 | 04/28/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mariela Garay | 7337367 | 1 | 04/23/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Jacob Kruswicki | 5804968 | 1 | 04/21/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jack H Green | 4838473 | 1 | 03/12/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 02/27/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Schuelke | 5476457 | 2 | 02/24/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ricky David Taylor | 1596514 | 7 | 02/21/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Larry Wayne Reynolds | 1630749 | 2 | 02/12/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 02/06/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marshall S Wood | 4635045 | 4 | 01/28/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |