Christopher Wardenburg Maxmin
Professional Summary
Christopher Wardenburg Maxmin, who also goes by Chris Maxmin, Christopher W Maxmin, is a registered financial advisor currently at BUCKLER SECURITIES LLC located in Greenwich, Connecticut. Christopher is registered as a RR (Registered Representative) and started their career in finance in 1994. Christopher has worked at 5 firms and has passed the Series 63, SIE, Series 57, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Chris Maxmin, Christopher W Maxmin
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
CETERA INVESTMENT ADVISERS LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
CETERA INVESTMENT ADVISERS LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
CETERA INVESTMENT ADVISERS LLC
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.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
CETERA INVESTMENT ADVISERS LLC
Years of Experience
18 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
CETERA INVESTMENT ADVISERS LLC
Current Firm
BUCKLER SECURITIES LLC
Contact Information
Main Address
5 Greenwich Office Park, Suite 350, Greenwich, CT 06831Mailing Address
5 Greenwich Office Park, Suite 350, Greenwich, CT 06831Phone Number
(203) 633-2225Established
Delaware since 04/28/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (17 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULM, SCOTT JEFFREY | PRINCIPAL | 1575205 |
| ZIMMER, JEFFREY JOHNSON | PRINCIPLE | 1303531 |
| MARK BELL VENTURES | OWNER | — |
| ARMOUR TRS INC | SHAREHOLDER | — |
| STATON, DANIEL CURTIS | SHAREHOLDER | 1538040 |
| STATON, MARIA VASSILIKI | SHAREHOLDER | 2197620 |
| CONIGLIARIO, THOMAS JOSEPH | CHIEF OPERATING OFFICER / PRINCIPLE OPERATIONS OFFICER | 1366831 |
| ESANNASON, CARLO YVAN | CCO | 4869110 |
| HARPER, GORDON MACKAY | CHIEF FINANCIAL OFFICER | 6632019 |
| JOSHI, JAI PAUL | CHIEF RISK OFFICER | 2263070 |
| KOKKO, LASSE ARTTURI | PRINCIPLE FINANCIAL OFFICER ("PFO") / FINOP | 6976957 |
| MISIANO, RICHARD JOHN | CHIEF EXECUTIVE OFFICER | 2339879 |
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
CETERA INVESTMENT ADVISERS LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
CETERA INVESTMENT ADVISERS LLC
State Registrations and Notice Filings
(4/15/2024)
(4/15/2024)
(4/15/2024)
(4/15/2024)
(4/15/2024)
(4/15/2024)
(4/15/2024)
(4/15/2024)
(11/5/2024)
(4/15/2024)
(4/15/2024)
(4/15/2024)
(4/16/2024)
(4/15/2024)
(4/15/2024)
(4/15/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
CETERA INVESTMENT ADVISERS LLC
CRS (Client Relationship Summary) - BD
Click below to view Christopher Wardenburg Maxmin's CRS (Customer Relationship Summary).
Similar Advisors
UBS FINANCIAL SERVICES INC.
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
CETERA INVESTMENT ADVISERS LLC