Max S. Wasserman

MIRAMAR CAPITAL

Northbrook, IL 60062

Some features on this profile are disabled

CRD#: 2206118

Professional summary

Max Scott Wasserman, who also goes by Max Scott, is a registered financial advisor currently at MIRAMAR CAPITAL located in Northbrook, Illinois.

Max is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Max has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Max Scott

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) - RIA

Click below to view Max Scott Wasserman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 1, 2017 - Present

MIRAMAR CAPITAL

Office #1: 666 Dundee Road Suite 502, Northbrook, IL 60062

RIA

CRD#: 290909

Northbrook, IL

Past

November 26, 2008 - December 11, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NORTHBROOK, IL

Past

November 26, 2008 - December 11, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NORTHBROOK, IL

Past

November 3, 2004 - December 1, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

October 15, 2004 - December 1, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

Past

June 22, 2004 - October 25, 2004

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

September 24, 1996 - July 9, 1997

FELDMAN SECURITIES GROUP L.L.C.

CRD#: 39385

CHICAGO, IL

Past

November 22, 1993 - July 8, 1997

CONCORD SERVICES L.L.C.

CRD#: 8085

CHICAGO, IL

Past

April 22, 1993 - October 15, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 21, 1992 - April 19, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

MIRAMAR CAPITAL

MIRAMAR CAPITAL | MIRAMAR CAPITAL LLC

CRD#: 290909 / SEC#: 801-112078

RIA

Registered Investment Advisory firm - (11/27/2017 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(12/1/2017)

IAR

Texas
(5/21/2018)

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: 11/2/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/19/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/22/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/21/2004

General Securities Representative Examination

Current Firm

MIRAMAR CAPITAL

MIRAMAR CAPITAL | MIRAMAR CAPITAL LLC

CRD#: 290909 / SEC#: 801-112078

RIA

Registered Investment Advisory firm - (11/27/2017 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

666 Dundee Road Suite 502, Northbrook, IL 60062

Mailing Address

Phone number

(847) 291-7300

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 ADV, PART 2A BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	340
AUM (Assets Under Management)	$ 509,236,432

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Max S. Wasserman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Max Scott Wasserman's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LASALLE FINANCIAL SERVICES, INC.

FELDMAN SECURITIES GROUP L.L.C.

CONCORD SERVICES L.L.C.

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

MIRAMAR CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/2004

Series 63

Date: 10/19/2004

SIE

Date: 12/11/2017

Series 31

Date: 11/22/2005

Series 7

Date: 6/21/2004

Current Firm

MIRAMAR CAPITAL

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIRAMAR CAPITAL

TRUST BUT VERIFY

Similar Advisors