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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Vales | 7609981 | 2 | 02/13/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Thomas Horne | 1489041 | 1 | 02/07/2013 | Customer Dispute | Denied | $9,472.00 | $0.00 | See FINRA Report |
| Michael E Phipps | 2359861 | 2 | 02/04/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brooks Ryan Allen Berueffy | 6614275 | 2 | 01/15/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Patrick Randall | 5042473 | 1 | 01/08/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Marshall S Wood | 4635045 | 4 | 01/07/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Phillip Arensdorf | 7560043 | 1 | 01/05/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ricky David Taylor | 1596514 | 7 | 12/18/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 12/12/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Patrick Sullivan | 5476954 | 4 | 12/11/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |