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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

Carey A Droznek

Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

PITTSBURGH, PA

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Search this name across graphsid dfx:ria:b686209a-67d5-9d3a-7802-b8f7856f15d6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Feb 12, 2008 to Sep 14, 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: NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 7, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Feb 7, 2008
First registration: Feb 12, 2008
Dual registered: yes, broker-dealer
Other names: CAREY ANNE WILSON|CAREY ANNE DROZNEK|Carey Droznek|Carey Wilson|Carey Wilson|Carey A Droznek
IAPD individual key: 5308583

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
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jun 29, 2023	n/a	yes	PITTSBURGH, PA	Current employment
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Sep 8, 2022	Feb 3, 2023	no	SEVEN FIELDS, PA	Previous registration
ALIGHT FINANCIAL ADVISORS, LLC	Independent wealth	Aug 3, 2021	Sep 14, 2022	no	CHARLOTTE, NC\|Venetia, PA	Previous registration
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Former SEC adviser	Apr 15, 2016	Apr 19, 2021	no	MCMURRAY, PA\|PITTSBURGH, PA\|MCMURRAY, PA	Previous registration
WADDELL & REED	Former SEC adviser	Oct 13, 2014	Jul 6, 2015	no	HAMDEN, CT\|WASHINGTON, PA	Previous registration
HAPANOWICZ FINANCIAL	Independent wealth	May 19, 2011	Oct 9, 2014	no	PITTSBURGH, PA	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Aug 12, 2010	Jun 2, 2011	no	PITTSBURGH, PA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 12, 2008	Aug 3, 2010	no	TAMPA, FL	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
VALIC FINANCIAL ADVISORS, INC.	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Feb 3, 2023	Jun 29, 2023	146	Firm change	Other
ALIGHT FINANCIAL ADVISORS, LLC	VALIC FINANCIAL ADVISORS, INC.	Sep 14, 2022	Sep 8, 2022	-6	Firm change	RIA to ibd
MID ATLANTIC FINANCIAL MANAGEMENT, INC.	ALIGHT FINANCIAL ADVISORS, LLC	Apr 19, 2021	Aug 3, 2021	106	Firm change	Ibd to RIA
WADDELL & REED	MID ATLANTIC FINANCIAL MANAGEMENT, INC.	Jul 6, 2015	Apr 15, 2016	284	Firm change	Other
HAPANOWICZ FINANCIAL	WADDELL & REED	Oct 9, 2014	Oct 13, 2014	4	Firm change	Other
SECURITIES AMERICA ADVISORS, INC.	HAPANOWICZ FINANCIAL	Jun 2, 2011	May 19, 2011	-14	Firm change	Other
UBS FINANCIAL SERVICES INC.	SECURITIES AMERICA ADVISORS, INC.	Aug 3, 2010	Aug 12, 2010	9	Firm change	Other

Relationships

Registered with (8)

→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Sep 8, 2022 to Feb 3, 2023factForm ADV
→ ALIGHT FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 3, 2021 to Sep 14, 2022factForm ADV
→ MID ATLANTIC FINANCIAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 15, 2016 to Apr 19, 2021factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Oct 13, 2014 to Jul 6, 2015factForm ADV
→ HAPANOWICZ FINANCIALRegistered adviserregistration: previous registration
May 19, 2011 to Oct 9, 2014factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Aug 12, 2010 to Jun 2, 2011factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 12, 2008 to Aug 3, 2010factForm ADV

Dated events

Occurred
Feb 3, 2023
Advisor changed firm
Carey A Droznek left Valic Financial Advisors, Inc. for Northwestern Mutual Investment Services,Llc (registered 2023-06-29)
Form ADVobserved 6 days ago
Occurred
Sep 14, 2022
Advisor changed firm
Carey A Droznek left Alight Financial Advisors, Llc for Valic Financial Advisors, Inc. (registered 2022-09-08)
Form ADVobserved 6 days ago