Max W. Smith

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CRD#: 1156307

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.

Max Wayne Smith was a registered financial professional .

Max is a previously registered financial professional and started their career in finance in 1983. Max had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 13, 1997 - December 14, 2017

HILLSPRING FINANCIAL, INC.

RIA

CRD#: 113938

SURPRISE, AZ

Past

April 25, 1994 - December 31, 2003

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

February 15, 1991 - April 19, 1994

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

August 8, 1989 - February 26, 1991

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

August 8, 1989 - March 7, 1991

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

February 13, 1989 - August 16, 1989

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

February 1, 1988 - December 31, 1988

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Past

September 8, 1987 - March 25, 1988

WARNER BECK INCORPORATED

CRD#: 11076

Past

August 8, 1983 - June 19, 1986

WARNER BECK INCORPORATED

CRD#: 11076

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HILLSPRING FINANCIAL, INC.

CENTER FOR INVESTMENT MANAGEMENT, INC. | HILLSPRING FINANCIAL, INC.

CRD#: 113938 / SEC#: 801-130993

RIA

Registered Investment Advisory firm - (9/11/2024 Approved)

Arizona

Registered Investment Advisory firm - (9/20/2024 Terminated)

California

Registered Investment Advisory firm - (10/20/2024 Terminated)

Idaho

Registered Investment Advisory firm - (9/25/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/20/2024 Terminated)

Utah

Registered Investment Advisory firm - (9/20/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/11/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/5/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/4/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/1/1994

General Securities Principal Examination

Current Firm

HILLSPRING FINANCIAL, INC.

CENTER FOR INVESTMENT MANAGEMENT, INC. | HILLSPRING FINANCIAL, INC.

CRD#: 113938 / SEC#: 801-130993

RIA

Registered Investment Advisory firm - (9/11/2024 Approved)

Arizona

Registered Investment Advisory firm - (9/20/2024 Terminated)

California

Registered Investment Advisory firm - (10/20/2024 Terminated)

Idaho

Registered Investment Advisory firm - (9/25/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/20/2024 Terminated)

Utah

Registered Investment Advisory firm - (9/20/2024 Terminated)

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Contact information

Main Address

12213 W. Bell Road Suite 209, Surprise, AZ 85378

Mailing Address

Phone number

(623) 583-6141

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A - SEC (3/5/2025)

Regulatory assets under management

Total Number of Accounts	641
AUM (Assets Under Management)	$ 154,788,350

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.

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Advisor Monitoring

Firm Stability Insights

Max W. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

WARNER BECK INCORPORATED

WARNER BECK INCORPORATED

Primary Firm SEC Registration

HILLSPRING FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/1992

Series 63

Date: 8/5/1983

Series 7

Date: 2/20/1988

Series 6

Date: 8/4/1983

Series 24

Date: 6/1/1994

Current Firm

HILLSPRING FINANCIAL, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HILLSPRING FINANCIAL, INC.

TRUST BUT VERIFY

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