TODD ROWE ZAESKE

TODD ROWE ZAESKE is currently employed as a Broker and/or Investment Adviser at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located at 720 E Wisconsin Ave, Milwaukee, WI, 53202.

TODD ROWE ZAESKE has worked at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC since March 28, 2017

Disclosure History

TODD ROWE ZAESKE has 3 Disclosure Event(s).

Date: December 09, 2014
Category: Financial
Type: Bankruptcy
Disposition: Discharged
Broker Comment: Bankruptcy is a result of having to payback Wells Fargo for a sign on bonus. Wells Fargo misrepresented themselves during the interview process.

Date: September 08, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $3,441.00
Judgment/Lien Type: Civil
Broker Comment: Approved payment plan is in place through the state of Wisconsin.

Date: October 06, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGES POOR RECOMMENDATION AND POOR ADVICE REGARDING A UIT INVESTMENT. ACTIVITY DATES 07/15/2008-07/15/2008.
Damage Amount Requested: $6,000.00

More Information

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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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