Max L. Hamilton
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.
Max Leroy Hamilton was a registered financial professional .
Max is a previously registered financial professional and started their career in finance in 1968. Max had worked at 2 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 1992 - August 31, 2016
OFG FINANCIAL SERVICES, INC.
February 14, 1968 - April 1, 1992
THE COLUMBIAN SECURITIES CORPORATION
Primary Firm SEC Registration
OFG FINANCIAL SERVICES, INC.
CRD#: 23940 / SEC#: 801-127727, 8-40770
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 1
Date: 8/10/1962
Registered Representative ExaminationCurrent Firm
OFG FINANCIAL SERVICES, INC.
CRD#: 23940 / SEC#: 801-127727, 8-40770
Contact information
SEC notice filing (5 States and Territories)
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 850 |
| AUM (Assets Under Management) | $ 270,000,000 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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