BRANDON S SMITH at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 4835033
BRANDON S SMITH is an Investment Adviser, associated with NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located at Columbus, OH. BRANDON SMITH’s Central Registration Depository (CRD) number is 4835033 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for BRANDON SMITH

    • Event Date: 4/20/2016
    • Disclosure Type: Customer Dispute
    • Resolution: Denied
    • Allegations: The client is alleging the representative misrepresented the benefits of the transfer into the Northwestern Mutual Variable Annuity.
    • Damage Amount Requested: $25,000.00
    • Arbitration Docket Number:
    • Broker Comment: The firm’s investigation revealed the customer’s allegations of misrepresentation were without merit. Documentation related to this matter found that the client was provided with accurate information, and the representative was found to have made appropriate disclosures regarding the transfer. Based on these facts, the client’s allegations and request for relief were denied.
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Should I file a FINRA complaint against brokers like BRANDON S SMITH?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by BRANDON S SMITH’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About BRANDON S SMITH

What is BRANDON SMITH's Central Registration Depository (CRD) Number?

4835033

Which firm is BRANDON S SMITH associated with?

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Where is BRANDON SMITH located?

800 Yard St Ste 300, Columbus, OH, 43212

Where can I find more details about BRANDON SMITH's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/2881 to read a detailed report for NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Are there any disclosures, allegations or complaints filed against BRANDON S SMITH?

Yes. There are disclosures, allegations, or complaints filed against BRANDON S SMITH. Click here to view all details

Where can I download a detailed FINRA report for BRANDON SMITH?

Click here to download a detailed FINRA report for BRANDON SMITH

Is it safe to do business with BRANDON S SMITH?

We’re not sure. Please research BRANDON SMITH’s disclosures, allegations and complaints before taking a decision

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