Best Investors Account Sign in

Alex James Wozniak

Northwestern Mutual Investment Services, LLC

Raleigh, NC

Claim This Profile
Current Employers
Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2025-12-03
  • NC RA
    APPROVED
    Since 2025-12-03

Branch Locations

1201 Edwards Mill Rd Ste 200, Raleigh, NC 27607 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lockheed Martin Aeronautics Fort Worth TX 07/2016 06/2018
Lockheed Martin Space Littleton CO 07/2018 06/2019
Lockheed Martin Aeronautics Fort Worth TX 07/2019 01/2021
Unemployed Fort Worth TX 02/2021 03/2023
Ubs Financial Services Charlotte NC 04/2023 10/2025
Kelly Parker Raleigh NC 11/2025 Present
Robert Rauf Raleigh NC 11/2025 Present
Jason Garey Raleigh NC 11/2025 Present
Tyler Swanbeck Raleigh NC 11/2025 Present
Northwestern Mutual Investment Services Llc Raleigh NC 11/2025 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 02/2026 Present
  • 07/2016 → 06/2018
    Lockheed Martin Aeronautics
    Fort Worth, TX
  • 07/2018 → 06/2019
    Lockheed Martin Space
    Littleton, CO
  • 07/2019 → 01/2021
    Lockheed Martin Aeronautics
    Fort Worth, TX
  • 02/2021 → 03/2023
    Unemployed
    Fort Worth, TX
  • 04/2023 → 10/2025
    Ubs Financial Services
    Charlotte, NC
  • 11/2025 → Present
    Kelly Parker
    Raleigh, NC
  • 11/2025 → Present
    Robert Rauf
    Raleigh, NC
  • 11/2025 → Present
    Jason Garey
    Raleigh, NC
  • 11/2025 → Present
    Tyler Swanbeck
    Raleigh, NC
  • 11/2025 → Present
    Northwestern Mutual Investment Services Llc
    Raleigh, NC
  • 02/2026 → Present
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-06
  • S66 Uniform Combined State Law Examination
    2022-10-06
Other Names
  • Alex James Wozniak
  • Alex Wozniak

View on SEC IAPD

Other Firms

TOWNSEND ASSET MANAGEMENT CORP.
FORTRESS PRIVATE LEDGER, LLC
OLDE RALEIGH FINANCIAL GROUP
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
ADVISORY SERVICES NETWORK
WELLS FARGO CLEARING SERVICES, LLC
EDWARD JONES
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH
William Dean Cotton
Earl Scott Butcher
DAVID JEFFREY HERMAN
JAY DAVID MCKINNEY
BRANDON ALAN WALLS

Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

More in Raleigh, NC

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor