PATRICK FRANCIS KNAPP

PATRICK FRANCIS KNAPP is currently employed as a Broker and/or Investment Adviser at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located at 8220 SAN PEDRO NE, STE 505, ALBUQUERQUE, NM, 87113.

PATRICK FRANCIS KNAPP has worked at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC since February 13, 2015

Disclosure History

PATRICK FRANCIS KNAPP has 1 Disclosure Event(s).

Date: August 02, 2016
Category: Customer Dispute
Allegations: The client alleges the representative instructed her to provide misleading information during the "Client History Interview" portion of the underwriting process for a new life insurance policy. The client also alleges the representative falsified information concerning the amount of life insurance her ex-husband had through his employer.
Damage Amount Requested: $9,685.65
Settlement Amount: $11,355.19

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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