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 |
|---|---|---|---|---|---|---|---|---|
| Kristy Lyn Hopkins | 2508499 | 1 | 12/13/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Giancarlo Montufar | 5176115 | 1 | 12/09/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kelly Glenn Parker | 6061962 | 1 | 12/03/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Corey M Souliotis | 5920866 | 1 | 12/02/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Candace Helene Berkman | 3161632 | 6 | 11/15/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Waidean Nathaniel | 2105700 | 8 | 11/08/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Alan Dempsey | 2673496 | 1 | 10/07/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly M Zeigler | 4678470 | 2 | 10/03/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles T Petersen | 1897462 | 1 | 09/26/2011 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Daniel Frost | 6326717 | 2 | 09/26/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |