Max A Briggs
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Debt Management
- Comprehensive Financial Planning
- Education Planning
- Retirement Planning
- Budgeting
- Retirement Income Management
- Divorce Planning
- Employee and Employer Plan Benefits
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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MODERA WEALTH MANAGEMENT, 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.
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Credentials
Years of Experience
30 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FLC CAPITAL ADVISORS | FLC FINANCIAL NETWORK
Contact Information
Main Address
44750 Village Court, Palm Desert, CA 92260Phone Number
(760) 779-8110# of Employees
9SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
821AUM (Assets Under Management)
$822,156,813Similar Advisors
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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.
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Primary Firm SEC Registration
FLC CAPITAL ADVISORS | FLC FINANCIAL NETWORK
State Registrations and Notice Filings
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(8/6/2012)
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Max A Briggs's CRS (Customer Relationship Summary).
Services Offered by Max
- Debt Management
- Comprehensive Financial Planning
- Education Planning
- Retirement Planning
- Budgeting
- Retirement Income Management
- Divorce Planning
- Employee and Employer Plan Benefits
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MODERA WEALTH MANAGEMENT, LLC