Category: Northwestern Mutual Investment Services, LLC

Joseph Michael Cannon (CRD#: 6341199) was a previously registered broker. Broker’s History He entered the securities industry in 2016 and previously worked for Northwestern Mutual Investments Services, LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2025, without admitting or denying the findings, Cannon consented […]

Jordan Stentiford (CRD#:6946439) was a previously registered broker. Broker’s Background He entered the securities industry in 2020 and previously worked with Northwestern Mutual Investment Services, LLC. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2024, without admitting or denying the findings, Stentiford consented to the […]

Timothy Claypool (CRD#: 4729794) was a previously registered Broker and registered Investment Advisor at Northwestern Mutual Investment Services, LLC. Broker’s Background He entered the securities industry in 2004 and previously worked for Northwestern Mutual Investment Services, LLC; Farmers Financial Solutions, LLC; Edward Jones; Raymond James Financial Services, Inc.; and Merrill Lynch, Pierce, Fenner & Smith, […]

Scott Niekamp (CRD#: 3277810) is a dually registered Broker and Investment Advisor at Northwestern Mutual Investment Services, LLC in Chesterfield, MO. He entered the securities industry in 2000. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2021, FINRA sanctioned Scott Niekamp, levying a civil and administrative penalty of […]

Manish Shah (CRD#: 4652835), also known as Manish H. Shah and Manish Hemant Shah, is a previously registered Investment Advisor who worked for Northwestern Mutual Investment Services, LLC from 2003 until 2019. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in January 2021, FINRA suspended Manish Shah for 20 months […]

The Wolper Law Firm, P.A. is currently investigating claims against Meaghan Johnson, a former Financial Advisor at Northwestern Mutual in Mclean, Virgina.  Meaghan Johnson has been in the securities industry since 2010 and previously worked for Signator Investors. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on May 23, 2018, […]

The Wolper Law Firm, P.A. is currently investigating claims against former Northwestern Mutual Investment Services Financial Advisor, Donnell Bowen, from Washington, D.C. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), effective June 2018, Donnell Bowen was barred from associating with any FINRA member brokerage firm.  This disciplinary action was prompted […]