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 |
|---|---|---|---|---|---|---|---|---|
| Joshua Caleb Schaubach | 7068497 | 1 | 08/22/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob C Hult | 6942299 | 2 | 08/04/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Belliveau | 7140657 | 2 | 07/18/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Velez | 6953121 | 2 | 07/13/2023 | Customer Dispute | Settled | $32,000.00 | $0.00 | See FINRA Report |
| Brandon Jeremy Matloff | 5429161 | 1 | 07/10/2023 | Customer Dispute | Closed-No Action | $6,559.12 | $0.00 | See FINRA Report |
| Heath Joseph Roehrich | 7116145 | 2 | 06/26/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Scott Preston Underwood | 2206763 | 4 | 06/21/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Julian Puga | 6313369 | 2 | 06/16/2023 | Customer Dispute | Denied | $5,111.10 | $0.00 | See FINRA Report |
| Brian Belliveau | 7140657 | 2 | 06/15/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Paul Lenahan | 7420125 | 7 | 06/13/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |