Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MARISA RICHAEL BOZOVIC
MARISA RICHAEL JOSEPH
CRD#: 5577796
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 4501 Tamiami Trl N
Ste 418
Naples, FL 34103
Registration History
201020122014201620182020202220242026IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2013 - Present (11 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2009 - Present (15 years)
License(s)

State Registrations

B
California 2/23/2016
B
Michigan 1/25/2018
B
Colorado 2/2/2021
B
Missouri 6/22/2016
B
Connecticut 8/30/2012
B
New Jersey 2/15/2018
B
District of Columbia 5/19/2015
B
New York 6/7/2018
B
Florida 10/11/2013
B
North Carolina 6/22/2022
B
Georgia 8/13/2012
B
Ohio 3/16/2023
B
Hawaii 9/14/2017
B
Pennsylvania 7/21/2020
B
Illinois 1/6/2010
B
Rhode Island 2/8/2018
IA
Illinois 9/9/2013
B
Texas 1/28/2011
B
Indiana 11/25/2024
B
Virginia 12/10/2020
B
Maryland 6/22/2016
B
Washington 12/7/2016
B
Massachusetts 12/11/2014
B
Wisconsin 2/4/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
4501 Tamiami Trl N Ste 418, Naples, FL 34103
Registered with this firm since 9/9/2013
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
4501 Tamiami Trl N Ste 418, Naples, FL 34103
Registered with this firm since 7/7/2009
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.