Alex James Wozniak
Investment Adviser Representative at Northwestern Mutual Investment Services,llc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Alex James Wozniak is an investment adviser representative with Northwestern Mutual Investment Services,llc in Raleigh, NC, where they have been registered since 2025. They have worked in the securities industry since 2023 and were previously registered with UBS Financial Services Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in North Carolina.
Office
Advisors at this office: 25
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- North Carolina
- Broker:
4 states and territories
California, Connecticut, Florida, North Carolina
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Lockheed Martin AeronauticsJul 2016 – Jun 2018Fort Worth, TX
- Lockheed Martin SpaceJul 2018 – Jun 2019Littleton, CO
- Lockheed Martin AeronauticsJul 2019 – Jan 2021Fort Worth, TX
- UnemployedFeb 2021 – Mar 2023Fort Worth, TX
- UBS Financial ServicesApr 2023 – Oct 2025Charlotte, NC
- Kelly ParkerNov 2025 – no end date reportedRaleigh, NC
- Robert RaufNov 2025 – no end date reportedRaleigh, NC
- Jason GareyNov 2025 – no end date reportedRaleigh, NC
- Tyler SwanbeckNov 2025 – no end date reportedRaleigh, NC
- Northwestern Mutual Investment Services LLCNov 2025 – no end date reportedRaleigh, NC
- Northwestern Mutual Wealth Management CompanyFeb 2026 – no end date reportedMilwaukee, WI
Official records & sources
Data as of June 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Northwestern Mutual Investment Services,llc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
Similar advisors in Raleigh, NC
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Alex James Wozniak has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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