Arthur D. Maxwell
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.
Arthur Dudley Maxwell, who also goes by (jr) Arthur Dudley Maxwell, Hap Maxwell, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1982. Arthur had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2012 - December 31, 2012
THE O.N. EQUITY SALES COMPANY
October 2, 2006 - December 20, 2012
THE O.N. EQUITY SALES COMPANY
July 10, 1989 - October 5, 2006
WALNUT STREET SECURITIES, INC.
April 16, 1982 - June 9, 1989
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
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
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
