DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

MAUREEN (NMN) MACKOWSKI

Advisor at UHLMANN INVESTMENT MANAGEMENT, L.L.C.

Castle Pines, CO | SKOKIE, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6924fca8-e0d5-e774-9e91-3f84057f12c3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 19, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 13, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Jul 13, 1983
First registration: Sep 19, 2002
Dual registered: yes, broker-dealer
Other names: Moe Mackowski|MAUREEN MACKOWSKI
IAPD individual key: 867207

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UHLMANN INVESTMENT MANAGEMENT, L.L.C.	Independent wealth	Oct 14, 2025	n/a	yes	SKOKIE, IL\|Castle Pines, CO	Current employment
C2C WEALTH MANAGEMENT, LLC	Independent wealth	Nov 15, 2016	Jan 22, 2024	no	Sausalito, CA\|SCOTTSDALE, AZ	Previous registration
OSAIC FA, INC.	Former SEC adviser	Mar 3, 2003	Nov 21, 2016	no	SAUSALITO, CA\|BOSTON, MA\|BOSTON, MA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 19, 2002	Mar 10, 2003	no	WELLESLEY, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C2C WEALTH MANAGEMENT, LLC	UHLMANN INVESTMENT MANAGEMENT, L.L.C.	Jan 22, 2024	Oct 14, 2025	631	Firm change after gap	RIA to RIA
OSAIC FA, INC.	C2C WEALTH MANAGEMENT, LLC	Nov 21, 2016	Nov 15, 2016	-6	Firm change	Other
UBS FINANCIAL SERVICES INC.	OSAIC FA, INC.	Mar 10, 2003	Mar 3, 2003	-7	Firm change	Other

Relationships

Registered with (4)

→ UHLMANN INVESTMENT MANAGEMENT, L.L.C.Registered adviserregistration: current employment
Oct 14, 2025 to presentfactForm ADV
→ C2C WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 15, 2016 to Jan 22, 2024factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Mar 3, 2003 to Nov 21, 2016factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 19, 2002 to Mar 10, 2003factForm ADV

Dated events

Occurred
Jan 22, 2024
Advisor changed firm
Maureen (Nmn) Mackowski left C2C Wealth Management, Llc for Uhlmann Investment Management, L.L.C. (registered 2025-10-14)
Form ADVobserved 6 days ago