Thomas Earl Maxwell
Professional Summary
Thomas Earl Maxwell, who also goes by Tom Maxwell, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1992 - 2015. Thomas had worked at 5 firms and has passed the Series 63, SIE, Series 62 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom 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
33 years in the financial services industry
Current & Past Employments
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Current Firm
D.H. HILL SECURITIES LLP | FIRST FINANCIAL UNITED INVESTMENTS, LTD. | FIRST FINANCIAL UNITED INVESTMENTS LTD., L.L.P. | D.H. HILL SECURITIES, LLLP
Contact Information
Main Address
1543 Green Oak Place, Suite 200, Kingwood, TX 77339Mailing Address
1543 Green Oak Place, Suite 200, Kingwood, TX 77339Phone Number
(832) 644-1852Established
Texas since 06/11/1996Firm Type
Other Types of Legal FormationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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 62 — Corporate Securities Limited Representative Examination
Passed Apr 2003Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1992About the Series 6 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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