Marisa Bertoia

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.