Maxim Yutsis
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.
Maxim Yutsis, who also goes by Max Yutsis, was a registered financial professional .
Maxim is a previously registered financial professional and started their career in finance in 1996. Maxim had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2013 - March 31, 2016
NFSG CORPORATION
August 26, 2013 - March 31, 2016
NEWBRIDGE SECURITIES CORPORATION
April 20, 2010 - August 30, 2013
LPL FINANCIAL LLC
April 19, 2010 - August 30, 2013
LPL FINANCIAL LLC
March 25, 2010 - April 22, 2010
AEGIS CAPITAL CORP.
March 25, 2010 - April 22, 2010
AEGIS CAPITAL CORP.
May 6, 2008 - March 29, 2010
GUNNALLEN FINANCIAL, INC
April 30, 2008 - March 29, 2010
GUNNALLEN FINANCIAL, INC
June 28, 2005 - May 2, 2006
CHASE INVESTMENT SERVICES CORP.
June 21, 2005 - May 2, 2006
CHASE INVESTMENT SERVICES CORP.
March 10, 2005 - June 9, 2005
CHARLES SCHWAB & CO., INC.
March 10, 2005 - June 9, 2005
CHARLES SCHWAB & CO., INC.
July 2, 2002 - March 8, 2005
EQUITABLE ADVISORS, LLC
October 9, 2001 - March 8, 2005
EQUITABLE ADVISORS, LLC
July 29, 1998 - September 4, 2001
J.P. TURNER & COMPANY, L.L.C.
February 12, 1997 - August 3, 1998
JOSEPHTHAL & CO., INC.
September 24, 1996 - May 22, 1997
INVESTORS ASSOCIATES, INC.
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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
Current Firm
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
Red Flags
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.
