CLINTON HARRY BLOOD

CLINTON HARRY BLOOD is currently employed as a Broker and/or Investment Adviser at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located at 511 CONGRESS ST STE 601, PORTLAND, ME, 04101.

CLINTON HARRY BLOOD has worked at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC since July 27, 1978

Disclosure History

CLINTON HARRY BLOOD has 1 Disclosure Event(s).

Date: June 06, 2005
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT THE SALE OF HER VARIABLE ANNUITY, WHICH WAS NEAR THE END OF ITS SURRENDER PERIOD, TO PURCHASE A NEW PRODUCT WITH A NEW SURRENDER PERIOD WAS UNSUITABLE. NO DAMAGES SPECIFIED.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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