Michael Phillip Maxwell
Professional Summary
Michael Phillip Maxwell is a registered financial advisor currently at PENTEGRA DISTRIBUTORS INC. located in Shelton, Connecticut. Michael is registered as a RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
11 years in the financial services industry
Current & Past Employments
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Current Firm
PENTEGRA DISTRIBUTORS INC. | RETIREMENT SYSTEM DISTRIBUTORS INC.
Contact Information
Main Address
2 Enterprise Drive Suite 408, Shelton, CT 06484Mailing Address
2261 Market Street Suite 86302, San Francisco, CA 94114Phone Number
(914) 821-9554Established
Delaware since 05/25/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(7/17/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2015About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Phillip Maxwell's CRS (Customer Relationship Summary).
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