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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Ross Olsen | 5283245 | 7 | 01/24/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jacob R Flemming | 6896521 | 1 | 01/19/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Austin Russell Warner | 1637689 | 4 | 01/06/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Preston Underwood | 2206763 | 4 | 12/31/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brandon Decker | 6948188 | 3 | 12/26/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Decker | 6948188 | 3 | 12/26/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Bandy Garwood | 2703896 | 1 | 12/02/2013 | Customer Dispute | Denied | $10,665.10 | $0.00 | See FINRA Report |
| Callie Meagan Ford Cetingok | 5700438 | 1 | 11/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sanjay Avinash Patel | 7163149 | 2 | 11/04/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Scott Manges | 7712085 | 1 | 11/04/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |