MS
Maximilian D. Stone
D.E. SHAW SECURITIES, L.L.C.
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 2246217
MS
Professional summary
Maximilian Dana Stone, who also goes by Max Stone, is a registered financial professional currently at D.E. SHAW SECURITIES, L.L.C. located in New York, New York.
Maximilian is registered as a RR (Registered Representative) and started their career in finance in 1994. Maximilian has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Max Stone
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.
CRS (Client Relationship Summary) - BD
Click below to view Maximilian Dana Stone's 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®
NoneExperience
Current
February 22, 1993 - Present
D.E. SHAW SECURITIES, L.L.C.
Office #1: Two Manhattan West 375 Ninth Avenue 52nd Floor, New York, NY, 10001Office #2: Two Manhattan West 375 Ninth Avenue 52nd Floor, New York, NY, 10001BD
CRD#: 24332
NEW YORK, NY
Past
April 13, 2000 - September 17, 2007
D. E. SHAW VALENCE, L.L.C.
BD
CRD#: 31995
NEW YORK, NY
Past
February 23, 1994 - January 18, 2006
D. E. SHAW INVESTMENTS, L.P.
BD
CRD#: 22786
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/20/2002)
RR
Alaska(12/20/2002)
RR
Arizona(12/20/2002)
RR
Arkansas(12/20/2002)
RR
California(12/20/2002)
RR
Colorado(12/20/2002)
RR
Connecticut(12/20/2002)
RR
Delaware(12/20/2002)
RR
District of Columbia(12/20/2002)
RR
Florida(12/20/2002)
RR
Georgia(12/20/2002)
RR
Hawaii(12/20/2002)
RR
Idaho(12/20/2002)
RR
Illinois(12/20/2002)
RR
Indiana(12/20/2002)
RR
Iowa(12/20/2002)
RR
Kansas(12/20/2002)
RR
Kentucky(12/20/2002)
RR
Louisiana(12/20/2002)
RR
Maine(12/20/2002)
RR
Maryland(12/20/2002)
RR
Massachusetts(12/20/2002)
RR
Michigan(12/20/2002)
RR
Minnesota(12/20/2002)
RR
Mississippi(12/20/2002)
RR
Missouri(12/20/2002)
RR
Montana(12/20/2002)
RR
Nebraska(12/20/2002)
RR
Nevada(12/20/2002)
RR
New Hampshire(12/20/2002)
RR
New Jersey(12/20/2002)
RR
New Mexico(12/20/2002)
RR
New York(5/24/2000)
RR
North Carolina(12/20/2002)
RR
North Dakota(12/20/2002)
RR
Ohio(12/20/2002)
RR
Oklahoma(12/20/2002)
RR
Oregon(12/20/2002)
RR
Pennsylvania(12/20/2002)
RR
Puerto Rico(12/20/2002)
RR
Rhode Island(12/20/2002)
RR
South Carolina(12/20/2002)
RR
South Dakota(12/20/2002)
RR
Tennessee(12/20/2002)
RR
Texas(12/20/2002)
RR
Utah(12/20/2002)
RR
Vermont(12/20/2002)
RR
Virginia(12/20/2002)
RR
Washington(12/20/2002)
RR
West Virginia(12/20/2002)
RR
Wisconsin(12/20/2002)
RR
Wyoming(12/20/2002)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/6/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DS
D.E. SHAW SECURITIES, L.L.C.
D. E. SHAW SECURITIES, L.P. | EASTBORNE PARTNERS, L.P. | D.E. SHAW SECURITIES, L.L.C.
CRD#: 24332 / SEC#: , 8-40745
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Two Manhattan West 375 Ninth Avenue 52nd Floor, New York, NY, 10001
Mailing Address
Two Manhattan West 375 Ninth Avenue 52nd Floor, New York, NY, 10001
Phone number
(212) 478-0000
Established
Delaware since 11/13/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D. E. SHAW & CO., L.P. | SOLE MEMBER | |
| CATLETT, JOHNATHAN EDWARD | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; AND FINANCIAL AND OPERATIONS PRINCIPAL | 7444459 |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR | 2078654 |
| FISHMAN, EDWARD LAURENCE | MANAGING DIRECTOR | 2656095 |
| HALABY, ALEXIS ANNE | MANAGING DIRECTOR | 4719650 |
| MARCUS, DANIEL ROBBINS | CHIEF COMPLIANCE OFFICER | 7889060 |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR | 2246217 |
Disclosures
| Regulatory Event | 5 |
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.
