John Willard Maxwell Iii
Professional Summary
John Willard Maxwell III, who also goes by John Willard Maxwell, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1993 - 2014. John had worked at 5 firms and has passed the Series 63, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Willard Maxwell
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
MARSH CAPITAL & M&A | MMC SECURITIES LLC | MMC SECURITIES CORP. | MMC SECURITIES CORP | MMA NEW ENGLAND | MMA - BARNEY AND BARNEY | MIIC INSURANCE SERVICES CORP | MERCER H & B EXECUTIVE BENEFITS | MERCER DC ADVISORS; MMA NEW ENGLAND; MERCER H & B EXEC. BENEFITS | MERCER DC ADVISORS | MARSH SECURITIES LLC | MARSH INSURANCE AGENCY & INVESTMENTS CORP | MARSH INSURANCE & INVESTMENTS CORPORATION | MARSH INSURANCE & INVESTMENTS CORP.
Contact Information
Main Address
1166 Avenue Of The Americas 31st Floor, New York, NY 10036Mailing Address
1166 Avenue Of The Americas, New York, NY 10036Phone Number
(212) 345-5000Established
Delaware since 04/01/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARSH INSURANCE & INVESTMENTS LLC | SOLE MEMBER | — |
| BLACKMORE, KIMBERLY LYNN | FINOP PRINCIPAL, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, DIRECTOR AND TREASURER | 2219307 |
| KEANE, DARREN PETER | DEPUTY CCO, DIRECTOR | 6900143 |
| KUMAR, SHIV | CEO AND DIRECTOR | 3165711 |
| MA, JOHN SUNG | PRINCIPAL OPERATIONS OFFICER | 5858075 |
| WEINSTOCK, JUDITH ANN | CCO, DIRECTOR AND SECRETARY | 8096565 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1992About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Mar 1992About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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