Anita P. Max
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.
Anita Paula Max was a registered financial professional .
Anita is a previously registered financial professional and started their career in finance in 1989. Anita had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 8 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
January 25, 2012 - August 12, 2016
LOYAL3 SECURITIES INC.
September 25, 1989 - December 26, 2008
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 5/12/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LOYAL3 SECURITIES INC.
CRD#: 6380 / SEC#: , 8-17277
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
