Michael J. Bozek
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Joseph Bozek, who also goes by Michael Josehp Bozek, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2003. Michael had worked at 6 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2024 - July 15, 2024
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC
August 7, 2019 - April 12, 2024
JOHN HANCOCK DISTRIBUTORS LLC
May 14, 2014 - November 2, 2018
SIGNATOR INVESTORS, INC.
June 23, 2008 - April 28, 2014
OSAIC FA, INC.
August 4, 2005 - July 26, 2006
WINDWARD SECURITIES CORPORATION
November 25, 2003 - April 28, 2014
OSAIC FS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC
CRD#: 150842 / SEC#: , 8-68303
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
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.
