Linda M. 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.
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 professional .
Linda is a previously registered financial professional and started their career in finance in 1983. Linda had worked at 14 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 1995 - February 13, 1995
MARLIN CAPITAL, INC.
September 29, 1994 - February 17, 1995
TDI, INCORPORATED
August 3, 1992 - November 8, 1993
LUMIERE SECURITIES, INC.
December 11, 1991 - May 5, 1992
LUMIERE SECURITIES, INC.
October 22, 1991 - November 21, 1991
KMU SECURITIES CORPORATION
June 27, 1990 - October 4, 1990
THE TRADING DESK, INC.
July 3, 1989 - March 20, 1990
LEHWALD, OROSEY & PEPE INCORPORATED
December 19, 1988 - June 6, 1989
FIRST STATE INVESTMENTS, INC.
October 21, 1987 - September 28, 1988
MCG PORTFOLIO MANAGEMENT CORP.
June 27, 1987 - September 14, 1987
SWINK & COMPANY, INC.
January 21, 1986 - June 10, 1987
BOWMAN & COMPANY INCORPORATED
July 18, 1985 - December 26, 1985
UNITED CAPITAL CORPORATION
August 16, 1984 - March 27, 1985
FIRST INVESTMENT SECURITIES, INC.
February 22, 1984 - May 17, 1984
PARK, RYAN, INC.
January 3, 1984 - January 16, 1984
UMIC, INC.
August 3, 1983 - December 7, 1983
PARK, RYAN, INC.
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
MARLIN CAPITAL, INC.
CRD#: 35422 / SEC#: , 8-47103
Contact information
Documents
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.
