Anders J. 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.
Anders John Maxwell was a registered financial professional .
Anders is a previously registered financial professional and started their career in finance in 1984. Anders had worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 16 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
July 31, 1999 - April 1, 2024
SOLOMON PARTNERS SECURITIES, LLC
May 1, 1998 - May 27, 1999
BARINGTON CAPITAL GROUP, L.P.
November 28, 1997 - April 17, 1998
SALOMON BROTHERS INC.
February 12, 1997 - April 17, 1998
CITIGROUP GLOBAL MARKETS INC.
December 6, 1994 - March 3, 1997
GE CAPITAL MARKETS, INC.
August 25, 1992 - October 4, 1994
BENEDETTO, GARTLAND & COMPANY, INC.
June 12, 1991 - July 2, 1992
LAZARD FRERES & CO. LLC
May 4, 1989 - June 25, 1991
CITIGROUP GLOBAL MARKETS INC.
October 17, 1988 - April 17, 1989
L. F. ROTHSCHILD & CO. INCORPORATED
July 2, 1987 - November 2, 1988
KIDDER, PEABODY & CO. INCORPORATED
July 26, 1984 - March 25, 1987
MORGAN STANLEY DW 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SOLOMON PARTNERS SECURITIES, LLC
CRD#: 28041 / SEC#: , 8-43369
Contact information
FINRA licenses (34 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
