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 |
|---|---|---|---|---|---|---|---|---|
| Philip H Pedlow | 4973931 | 6 | 08/20/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Candace Helene Berkman | 3161632 | 6 | 08/17/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Josh Ryan Jacobs | 5915747 | 2 | 08/07/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gordon Miller | 7167600 | 1 | 08/06/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Dimeglio | 6075308 | 2 | 08/01/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sanjay Avinash Patel | 7163149 | 2 | 07/24/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 07/16/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Adam Finnegan | 6542034 | 1 | 07/12/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eli Stephen Ford | 6443021 | 1 | 06/24/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mitchell Kurt Castillo | 6323081 | 1 | 06/23/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |