Thomas E. Maxwell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Earl Maxwell, who also goes by Tom Maxwell, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 5 firms and has passed the Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2011 - April 7, 2015
D.H. HILL SECURITIES, LLLP
September 2, 2010 - April 8, 2011
FIRST UNION SECURITIES, INC.
October 19, 2006 - August 31, 2010
LEGEND EQUITIES CORPORATION
March 16, 1998 - October 30, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 16, 1998 - October 30, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 31, 1994 - March 25, 1998
ARAGON FINANCIAL SERVICES, INC.
December 22, 1992 - September 16, 1993
ARAGON FINANCIAL SERVICES, 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
Exams
Series 62
Date: 4/9/2003
Corporate Securities Limited Representative ExaminationCurrent Firm
D.H. HILL SECURITIES, LLLP
CRD#: 41528 / SEC#: , 8-49475
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
