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Linda Marie Maxwell

CRD# 1128218·Registered 1983 - 1995
Previously Registered: Being a previously registered professional could mean that Linda 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.

Professional Summary

Linda Marie Maxwell, who also goes by Linda Mariaa Carnes, Linda Marie Carnes, Linda Carnes, Linda Maria Goodwin, Linda Marie Goodwin, Linda Goodwin, Linda Marie Nesheim, Linda Maria Yarm, Linda Marie Yarm, Linda Yarm, was a registered financial advisor. Linda was a previously registered financial professional and started their career in finance 1983 - 1995. Linda had worked at 14 firms and has passed the Series 63, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Linda Mariaa Carnes, Linda Marie Carnes, Linda Carnes, Linda Maria Goodwin, Linda Marie Goodwin, Linda Goodwin, Linda Marie Nesheim, Linda Maria Yarm, Linda Marie Yarm, Linda Yarm

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

MARLIN CAPITAL, INC.·CRD# 35422
BD
Fayetteville, AR
February 15, 1995 - February 13, 1995
TDI, INCORPORATED·CRD# 30629
BD
Englewood, CO
September 29, 1994 - February 17, 1995
LUMIERE SECURITIES, INC.·CRD# 13414
BD
Denver, CO
August 3, 1992 - November 8, 1993
LUMIERE SECURITIES, INC.·CRD# 13414
BD
Denver, CO
December 11, 1991 - May 5, 1992
KMU SECURITIES CORPORATION·CRD# 26640
BD
October 22, 1991 - November 21, 1991
THE TRADING DESK, INC.·CRD# 22908
BD
June 27, 1990 - October 4, 1990
LEHWALD, OROSEY & PEPE INCORPORATED·CRD# 16677
BD
Boca Raton, FL
July 3, 1989 - March 20, 1990
FIRST STATE INVESTMENTS, INC.·CRD# 16693
BD
December 19, 1988 - June 6, 1989
MCG PORTFOLIO MANAGEMENT CORP.·CRD# 7070
BD
October 21, 1987 - September 28, 1988
SWINK & COMPANY, INC.·CRD# 7111
BD
June 27, 1987 - September 14, 1987
BOWMAN & COMPANY INCORPORATED·CRD# 15983
BD
January 21, 1986 - June 10, 1987
UNITED CAPITAL CORPORATION·CRD# 8268
BD
July 18, 1985 - December 26, 1985
FIRST INVESTMENT SECURITIES, INC.·CRD# 13459
BD
August 16, 1984 - March 27, 1985
PARK, RYAN, INC.·CRD# 7154
BD
February 22, 1984 - May 17, 1984
UMIC, INC.·CRD# 5974
BD
January 3, 1984 - January 16, 1984
PARK, RYAN, INC.·CRD# 7154
BD
August 3, 1983 - December 7, 1983

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Current Firm

MC
MARLIN CAPITAL, INC.

MARLIN CAPITAL, INC.

CRD#: 35422 / SEC#: 8-47103
BD
Cancelled by SEC on 06/29/1995

Contact Information

Established

Arkansas since 10/21/1993

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1983About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Jul 1987About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jul 1983About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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