Bert 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.
Bert Maxwell III was a registered financial professional .
Bert is a previously registered financial professional and started their career in finance in 1991. Bert had worked at 4 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1994 - February 27, 1995
WORTHINGTON & DUNN SECURITIES INC.
June 4, 1993 - August 9, 1993
MACARTHUR STRATEGIES, INC.
January 15, 1993 - April 20, 1993
MAXXEL SECURITIES, INC.
May 30, 1991 - June 14, 1991
TEXAS AMERICAN SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WORTHINGTON & DUNN SECURITIES INC.
CRD#: 23062 / SEC#: , 8-42954
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.
