John C. Maxwell

JCM3 ASSET MANAGEMENT

EDWARDS, CO

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CRD#: 3130774

Professional summary

John C Maxwell III, who also goes by John C Maxwell, John C Maxwell III, is a registered financial advisor currently at JCM3 ASSET MANAGEMENT, LLC located in Edwards, Colorado.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. John has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John C Maxwell | John C Maxwell Iii

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) - RIA

Click below to view John C Maxwell III's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 18, 2023 - Present

JCM3 ASSET MANAGEMENT, LLC

RIA

CRD#: 327263

EDWARDS, CO

Past

July 20, 2023 - November 20, 2023

JCM3 ASSET MANAGEMENT, LLC

RIA

CRD#: 327263

EDWARDS, CO

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.

Highlighted states indicate IAR registrations

IAR

Colorado
(12/18/2023)

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.

Exams

Current Firm

JCM3 ASSET MANAGEMENT, LLC

CRD#: 327263 / SEC#: 801-128368

RIA

Registered Investment Advisory firm - (11/20/2023 Terminated)

Colorado

Registered Investment Advisory firm - (12/18/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Edwards, CO

Mailing Address

Phone number

(913) 221-3305

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 1,700,000

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.

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John C. Maxwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John C Maxwell III's CRS (Customer Relationship Summary).

Certified licenses

Experience

JCM3 ASSET MANAGEMENT, LLC

JCM3 ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Current Firm

JCM3 ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JCM3 ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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