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Maxwell J. Mahoney

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CRD#: 3121146
MM

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.

Maxwell James Mahoney was a registered financial professional .

Maxwell is a previously registered financial professional and started their career in finance in 1998. Maxwell had worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 12, 2015 - December 31, 2016

USTOCKTRADE SECURITIES, INC.

BD
CRD#: 16208
NEWTON, MA
Past

July 28, 2010 - October 31, 2012

WFS, LLC

BD
CRD#: 116778
BOSTON, MA
Past

September 30, 2005 - April 4, 2007

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

May 28, 2001 - November 13, 2003

LPL FINANCIAL LLC

RIA
CRD#: 6413
BOSTONS, MA
Past

April 26, 2001 - November 13, 2003

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

September 23, 1998 - May 12, 2000

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/28/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/26/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2016
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/8/2010
General Securities Principal Examination

Current Firm

US
USTOCKTRADE SECURITIES, INC.
J.P. MCGOWAN & COMPANY INCORPORATED | USTOCKTRADE SECURITIES, INC. | NORTHEASTERN FINANCIAL GROUP, INCORPORATED | MCGOWAN, O'MEARA & COMPANY, INC. | JOHN P. MCGOWAN AND COMPANY, INCORPORATED

CRD#: 16208 / SEC#: , 8-33132

BD
Terminated by SEC on 10/10/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 10/25/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
USTOCKTRADE, LLCOWNER
ABEYWICKRAMA, KUSHAL MICHAELPRINCIPAL6944964
ANDERSON, AUREL DAVINAPRESIDENT, CCO AND PRINCIPAL OPERATIONS OFFICER6573760
SPEZIALE, RICHARD SALVATOREPRINCIPAL FINANCIAL OFFICER1192739

Disclosures

Regulatory Event2

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.

Company Information

USTOCKTRADE SECURITIES, INC.

CRD#: 16208

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