Max A. Gump
Professional summary
Max Alan Gump is a registered financial professional currently at SAXONY SECURITIES, INC. located in St. Louis, Missouri.
Max is registered as a RR (Registered Representative) and started their career in finance in 1992. Max has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Max Alan Gump's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2023 - Present
SAXONY SECURITIES, INC.
Office #1: 11152 S Towne Square, St. Louis, MO 63123November 9, 2006 - December 31, 2023
LABRUNERIE FINANCIAL SERVICES, INC.
October 9, 2006 - October 10, 2006
LABRUNERIE FINANCIAL SERVICES, INC.
October 31, 2003 - October 31, 2006
USALLIANZ SECURITIES, INC.
July 30, 1998 - November 6, 2003
WOODBURY FINANCIAL SERVICES, INC.
April 12, 1996 - July 31, 1998
PRINCIPAL SECURITIES, INC.
April 6, 1994 - March 1, 1996
SII INVESTMENTS, INC.
June 22, 1992 - March 15, 1993
WALNUT STREET SECURITIES, 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
(11/30/2023)
Exams
FINRA
Current Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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