Carl W. Maves
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.
Carl William Maves was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1973. Carl had worked at 7 firms and has passed the SIE, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2000 - May 13, 2015
OBERWEIS SECURITIES, INC.
March 9, 1989 - November 1, 1999
GENEVA SECURITIES,INC.
October 13, 1983 - December 17, 1988
OBERWEIS SECURITIES, INC.
January 31, 1980 - August 19, 1983
UBS FINANCIAL SERVICES INC.
April 5, 1974 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 20, 1973 - April 21, 1974
MESIROW FINANCIAL, INC.
September 4, 1973 - November 26, 1973
EDWARDS & HANLY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/24/1973
Registered Representative ExaminationCurrent Firm
OBERWEIS SECURITIES, INC.
CRD#: 42060 / SEC#: , 8-49679
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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