Katherine L. 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.
Katherine Lumpkin Maxwell, CFP®, who also goes by Katherine Lumpkin, Kay Maxwell, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1982. Katherine had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2013 - December 31, 2019
MAXWELL FINANCIAL SERVICES, INC.
August 26, 2010 - March 31, 2014
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
August 26, 2010 - March 20, 2017
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
October 21, 2008 - September 7, 2010
NEXT FINANCIAL GROUP, INC.
September 9, 2008 - September 7, 2010
NEXT FINANCIAL GROUP, INC.
January 3, 2006 - September 15, 2008
MUTUAL SERVICE CORPORATION
October 31, 2005 - January 9, 2006
OSAIC SERVICES, INC.
January 3, 2003 - September 3, 2010
MAXWELL FINANCIAL SERVICES, INC.
June 18, 1989 - October 31, 2005
SUNAMERICA SECURITIES, INC.
June 28, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
March 2, 1984 - July 5, 1988
LOWRY FINANCIAL SERVICES CORPORATION
June 27, 1983 - March 2, 1984
FSC SECURITIES CORPORATION
August 5, 1982 - January 25, 1985
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
MAXWELL FINANCIAL SERVICES, INC.
CRD#: 168944 / SEC#:
Contact information
Red Flags
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