MA
Maxwell J. Anthony
STERLING CAPITAL DISTRIBUTORS
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 2786291
MA
Professional summary
Maxwell Joseph Anthony, who also goes by Max Anthony, is a registered financial professional currently at STERLING CAPITAL DISTRIBUTORS, LLC located in Charlotte, North Carolina.
Maxwell is registered as a RR (Registered Representative) and started their career in finance in 1996. Maxwell has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Max Anthony
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Maxwell Joseph Anthony'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®
NoneExperience
Current
November 15, 2013 - Present
STERLING CAPITAL DISTRIBUTORS, LLC
Office #1: 4350 Congress Street Suite 1000, Charlotte, NC 28209BD
CRD#: 103934
Charlotte, NC
Past
June 15, 1999 - September 6, 2002
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
October 21, 1997 - November 24, 1998
STEPHENS
BD
CRD#: 3496
LITTLE ROCK, AR
Past
September 4, 1996 - October 20, 1997
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(3/19/2014)
RR
Alaska(4/22/2016)
RR
Arizona(3/26/2014)
RR
Arkansas(4/22/2016)
RR
California(4/22/2016)
RR
Colorado(3/26/2014)
RR
Connecticut(4/22/2016)
RR
Delaware(4/22/2016)
RR
District of Columbia(3/19/2014)
RR
Florida(3/19/2014)
RR
Georgia(3/26/2014)
RR
Hawaii(4/22/2016)
RR
Idaho(4/22/2016)
RR
Illinois(3/19/2014)
RR
Indiana(4/22/2016)
RR
Iowa(4/22/2016)
RR
Kansas(4/22/2016)
RR
Kentucky(3/26/2014)
RR
Louisiana(3/19/2014)
RR
Maine(4/22/2016)
RR
Maryland(3/19/2014)
RR
Massachusetts(4/22/2016)
RR
Michigan(3/26/2014)
RR
Minnesota(4/22/2016)
RR
Mississippi(3/26/2014)
RR
Missouri(3/26/2014)
RR
Montana(4/22/2016)
RR
Nebraska(4/22/2016)
RR
Nevada(4/22/2016)
RR
New Hampshire(4/22/2016)
RR
New Jersey(4/22/2016)
RR
New Mexico(4/22/2016)
RR
New York(3/19/2014)
RR
North Carolina(3/19/2014)
RR
North Dakota(4/22/2016)
RR
Ohio(3/26/2014)
RR
Oklahoma(4/22/2016)
RR
Oregon(4/22/2016)
RR
Pennsylvania(4/22/2016)
RR
Rhode Island(4/22/2016)
RR
South Carolina(3/19/2014)
RR
South Dakota(4/22/2016)
RR
Tennessee(3/19/2014)
RR
Texas(3/19/2014)
RR
Utah(4/22/2016)
RR
Vermont(4/22/2016)
RR
Virginia(3/19/2014)
RR
Washington(4/22/2016)
RR
West Virginia(3/19/2014)
RR
Wisconsin(3/19/2014)
RR
Wyoming(4/22/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/23/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SC
STERLING CAPITAL DISTRIBUTORS, LLC
ABN AMRO DISTRIBUTION SERVICES (USA), INC. | STERLING CAPITAL DISTRIBUTORS, LLC | STERLING CAPITAL DISTRIBUTORS, INC. | BB&T AM DISTRIBUTORS, INC. | ASTON FUNDS DISTRIBUTORS, INC.
CRD#: 103934 / SEC#: , 8-52396
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
