Max A. Briggs
FLC CAPITAL ADVISORS
PALM DESERT, CA 92260
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CRD#: 2737513
Professional summary
Max A Briggs, CFP® is a registered financial advisor currently at FLC CAPITAL ADVISORS located in Palm Desert, California and OSAIC WEALTH, INC. located in Palm Desert, California.
Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Max has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Debt Management
Comprehensive Financial Planni...
Education Planning
Retirement Planning
Budgeting
Retirement Income Management
Divorce Planning
Employee and Employer Plan Ben...
Are you a "fiduciary"?
Yes
Aliases
None
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.
***INSURANCE POSITION: Agent NATURE: INSURANCE SALES - AGENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 12/01/1998 ADDRESS: 44750 Village Court, Palm Desert CA 92260 DESCRIPTION: Insurance ***BULL SHARK PROPERTIES LLC POSITION: General Partner NATURE: BULL SHARK PROPERTIES LLC/PURCHASE A SINGLE COMMERCIAL BUILDING--33% PARTNER INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/30/2011 ADDRESS: 44750 Village Court, Palm Desert CA 92260 DESCRIPTION: Commercial Building owned that FLC Capital rents from. ***FLC CAPITAL ADVISORS POSITION: President/CEO NATURE: Registered Investment Advisory Firm: C.E.O. / PRESIDENT 90 % TIME SPENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/1996 ADDRESS: 44750 Village Court, Palm Desert CA 92260, United States DESCRIPTION: SEC - RIA ***FIRST FOUNDATION INC. & FIRST FOUNDATION BANK POSITION: Chairman of the Board NATURE: FIRST FOUNDATION INC AND BANK/Chairman of the Board - INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 8 START DATE: 08/15/2012 (8/27/2024 as Chairman of the Board) ADDRESS: 18101 Von Karman Avenue, #750, Irvine CA 92612, United States DESCRIPTION: Chairman of the Board for the Board of Directors of both the holding company and the bank.
CRS (Client Relationship Summary) - RIA
Click below to view Max A Briggs's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2007
Experience
Current
January 29, 1997 - Present
FLC CAPITAL ADVISORS
Office #1: 44750 Willage Ct, Palm Desert, CA 92260RIA
CRD#: 111822
PALM DESERT, CA
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 44-750 Village Court, Palm Desert, CA 92260RIA
BD
CRD#: 23131
PALM DESERT, CA
Past
May 28, 1996 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
PALM DESERT, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FC
FLC CAPITAL ADVISORS
FLC CAPITAL ADVISORS | FLC FINANCIAL NETWORK
CRD#: 111822 / SEC#: 801-77600
RIA
Registered Investment Advisory firm - (2/7/2013 Approved)California
Registered Investment Advisory firm - (3/10/2013 Terminated)Texas
Registered Investment Advisory firm - (2/8/2013 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/14/2024)
RR
Arizona(6/14/2024)
IAR
California(1/29/1997)
RR
California(6/14/2024)
RR
Colorado(6/14/2024)
RR
Connecticut(6/14/2024)
RR
Florida(6/14/2024)
RR
Georgia(6/14/2024)
RR
Illinois(6/14/2024)
RR
Indiana(6/14/2024)
RR
Kentucky(6/14/2024)
RR
Maine(6/14/2024)
RR
Maryland(6/14/2024)
RR
Minnesota(6/14/2024)
RR
Montana(6/14/2024)
RR
Nevada(6/14/2024)
RR
New Mexico(6/14/2024)
RR
New York(6/14/2024)
RR
North Carolina(6/14/2024)
RR
Ohio(6/14/2024)
RR
Oregon(6/14/2024)
RR
South Carolina(6/14/2024)
IAR
Texas(8/6/2012)
RR
Texas(6/14/2024)
RR
Utah(6/14/2024)
RR
Virginia(6/14/2024)
RR
Washington(6/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FLC CAPITAL ADVISORS
FLC CAPITAL ADVISORS | FLC FINANCIAL NETWORK
CRD#: 111822 / SEC#: 801-77600
RIA
Registered Investment Advisory firm - (2/7/2013 Approved)California
Registered Investment Advisory firm - (3/10/2013 Terminated)Texas
Registered Investment Advisory firm - (2/8/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
44750 Village Court, Palm Desert, CA 92260
Mailing Address
Phone number
(760) 779-8110
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 791 |
| AUM (Assets Under Management) | $ 709,893,714 |
Red Flags
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