Maureen B. Kozak
Professional summary
Maureen B Kozak, CFP®, who also goes by Maureen Ann Brennan, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Wayne, Pennsylvania.
Maureen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Maureen has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Maureen B Kozak's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maureen B Kozak's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2010
Experience
September 6, 2019 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 115 Bloomingdale Ave., Wayne, PA 19087September 6, 2019 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 115 Bloomingdale Ave., Wayne, PA 19087March 19, 2008 - September 11, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 14, 2008 - September 11, 2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 1, 2003 - March 18, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 20, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 21, 1987 - December 13, 1994
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/6/2019)
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(1/13/2022)
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(10/14/2022)
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(2/28/2023)
(9/6/2019)
(9/6/2019)
(11/17/2022)
Exams
FINRA
Current Firm
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
