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Michael P. Maxwell

PENTEGRA DISTRIBUTORS
WHITE PLAINS, NY 10604
Some features on this profile are disabled
CRD#: 3162808
MM

Professional summary

Michael Phillip Maxwell is a registered financial professional currently at PENTEGRA DISTRIBUTORS INC. located in White Plains, New York.

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.

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) - BD

Click below to view Michael Phillip Maxwell'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®
None

Experience

Current

July 17, 2024 - Present

PENTEGRA DISTRIBUTORS INC.

Office #1: 701 Westchester Avenue Suite 320e, White Plains, NY 10604
BD
CRD#: 26249
WHITE PLAINS, NY
Past

January 4, 2021 - June 28, 2024

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

September 21, 2015 - January 4, 2021

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

June 20, 2012 - October 1, 2012

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
WINDSOR, CT

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
Connecticut
(7/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/21/2015
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PENTEGRA DISTRIBUTORS INC.
PENTEGRA DISTRIBUTORS INC. | RETIREMENT SYSTEM DISTRIBUTORS INC.

CRD#: 26249 / SEC#: , 8-42445

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
701 Westchester Avenue Suite 320e, White Plains, NY 10604
Mailing Address
701 Westchester Avenue Suite 320e, White Plains, NY 10604
Phone number
(914) 821-9554
Established
Delaware since 05/25/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PENTEGRA SERVICES INC.PARENT COMPANY
ERNST, LARS GERHARDDIRECTOR, VP AND CCO5197938
FINNEGAN, KEVIN ODIRECTOR
WIETSMA, ERIC HANSDIRECTOR AND PRESIDENT3167584

Disclosures

Regulatory Event1

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

PENTEGRA DISTRIBUTORS INC.

CRD#: 26249White Plains, NY 10604

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