James E. 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.
James Elton Maxwell JR, who also goes by Buddy Elton Maxwell Jr, Buddy Maxwell, James E Maxwell, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1984. James had worked at 13 firms and has passed the Series 65, Series 63, Series 31, Series 3, Series 7 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
February 11, 2008 - July 28, 2009
BREWER FINANCIAL SERVICES, LLC
November 17, 2006 - February 25, 2008
CHICAGO INVESTMENT GROUP, LLC
November 17, 2006 - February 25, 2008
CHICAGO INVESTMENT GROUP, LLC
February 13, 2004 - November 20, 2006
ADVANCED EQUITIES, INC.
January 29, 2004 - November 20, 2006
ADVANCED EQUITIES, INC.
June 27, 2002 - January 2, 2004
KEYBANC CAPITAL MARKETS INC.
December 1, 2000 - January 2, 2004
KEYBANC CAPITAL MARKETS INC.
January 23, 1995 - November 10, 2000
CIBC WORLD MARKETS CORP.
March 9, 1994 - January 23, 1995
ESSEX NATIONAL SECURITIES, LLC
June 18, 1993 - January 9, 1995
LASALLE FINANCIAL SERVICES, INC.
May 24, 1990 - June 10, 1993
CHASE INVESTMENT SERVICES CORP.
October 14, 1988 - May 24, 1990
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1988 - November 15, 1988
TRANSAMERICA SECURITIES SALES CORPORATION
March 2, 1988 - November 15, 1988
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 1, 1986 - February 8, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 19, 1984 - March 10, 1986
BLUNT ELLIS & LOEWI INCORPORATED
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
BREWER FINANCIAL SERVICES, LLC
CRD#: 132558 / SEC#: , 8-66603
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| 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.
