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Marisa Bertoia
Profile
Ms. Bertoia has a wealth of experience in the financial services industry and has spent the last seven years at Northwood Stephens Private Counsel Inc. She has strong operational and administrative experience in the areas of compliance; private, retail and institutional investments; as well as back-office operations.
Ms. Bertoia is responsible for managing Northwood Stephens’ trading platform, which involves providing direction and implementation of trading activities, administration of settlement systems, and oversight of reporting policies and procedures to ensure the firm is in compliance with industry regulations.
Previously, she worked in the Corporate and Institutional group at BMO Nesbitt Burns.
Her main responsibilities included responding to regulatory agency inquiries, assisting in internal investigations, and operating as a Commissioner of Oaths.
Prior to BMO Nesbitt Burns, she spent eleven years at Prudential-Bache Securities Canada Ltd, where she held various positions including the position of Commodity Compliance Analyst.
Her primary responsibilities were to review retail accounts and margin calls and act as the branch liaison between Canadian branches and the firm’s head office in New York.
Former positions of Marisa Bertoia
Companies | Position | End |
---|---|---|
Northwood Family Office Ltd.
![]() Northwood Family Office Ltd. Investment ManagersFinance Northwood Family Office Ltd. (Northwood) is a multi-family office headquartered in Toronto, Canada. The firm was founded in 2003 by Frederick Thomas McCullough and David Scott Hayman. They were acquired by CI Financial Corp. (TSX: CIX; NYSE: CIXX) in 2022. Northwood offers integrated planning, investment management, wealth administration and family engagement for families of wealth. | Trading-Equity | 2008-08-31 |
Prudential-Bache Securities Canada Ltd. | Corporate Officer/Principal | - |
BMO Nesbitt Burns, Inc.
![]() BMO Nesbitt Burns, Inc. Financial ConglomeratesFinance BMO Nesbitt Burns, Inc. provides investment and financial advisory services. The firm offers financial planning; estate planning and preservation; retirement, insurance, and education planning; income replacement; tax minimization; and business succession planning advisory services. The company was founded in 1912 and is headquartered in Toronto, Canada. | Corporate Officer/Principal | - |
Experiences
Positions held
Linked companies
Private companies | 3 |
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Northwood Family Office Ltd.
![]() Northwood Family Office Ltd. Investment ManagersFinance Northwood Family Office Ltd. (Northwood) is a multi-family office headquartered in Toronto, Canada. The firm was founded in 2003 by Frederick Thomas McCullough and David Scott Hayman. They were acquired by CI Financial Corp. (TSX: CIX; NYSE: CIXX) in 2022. Northwood offers integrated planning, investment management, wealth administration and family engagement for families of wealth. | Finance |
BMO Nesbitt Burns, Inc.
![]() BMO Nesbitt Burns, Inc. Financial ConglomeratesFinance BMO Nesbitt Burns, Inc. provides investment and financial advisory services. The firm offers financial planning; estate planning and preservation; retirement, insurance, and education planning; income replacement; tax minimization; and business succession planning advisory services. The company was founded in 1912 and is headquartered in Toronto, Canada. | Finance |
Prudential-Bache Securities Canada Ltd. |
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