Max W. Hooper
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 Wayne Hooper was a registered financial professional .
Max is a previously registered financial professional and started their career in finance in 1972. Max had worked at 15 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 1 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2022 - October 17, 2022
RIALTO MARKETS LLC
September 13, 2019 - April 24, 2020
PALLADIUM CAPITAL GROUP, LLC
May 20, 2016 - January 22, 2018
TRILOMA SECURITIES, LLC
March 11, 2015 - July 18, 2016
PARTNERS CAPITAL GROUP, LLC
January 13, 2014 - February 9, 2015
G.F. INVESTMENT SERVICES, LLC
December 14, 2012 - April 24, 2013
G.F. INVESTMENT SERVICES, LLC
February 2, 2010 - March 9, 2011
G. A. REPPLE & COMPANY
March 17, 2006 - August 19, 2008
MEADOWBROOK SECURITIES LLC
January 23, 1991 - April 1, 2005
EQUITY CAPITAL CORPORATION
June 15, 1983 - November 2, 1990
HH&H DEVELOPMENT CORPORATION
August 4, 1978 - November 4, 1982
E. F. HUTTON & COMPANY INC
February 8, 1978 - May 10, 1980
VARIABLE ANNUITY SALES CORPORATION
April 23, 1974 - March 25, 1976
USLIFE EQUITY SALES CORP
November 20, 1972 - May 15, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
January 6, 1972 - October 22, 1972
THE MINNESOTA MUTUAL LIFE INSURANCE
January 6, 1972 - October 22, 1972
NORTH STAR EQUITIES COMPANY
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 12/28/1971
Registered Representative ExaminationCurrent Firm
RIALTO MARKETS LLC
CRD#: 283477 / SEC#: , 8-69756
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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