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Edward Atwood Maxfield

CRD# 323631·Registered 1970 - 2003
Previously Registered: Being a previously registered professional could mean that Edward 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.

Professional Summary

Edward Atwood Maxfield, who also goes by Edwards Atwood Maxfield, was a registered financial advisor. Edward was a previously registered financial professional and started their career in finance 1970 - 2003. Edward had worked at 7 firms and has passed the Series 1, Series 27, Series 24 and Series 00 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Edwards Atwood Maxfield

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

56 years in the financial services industry

Current & Past Employments

ANDRICK SECURITIES CORP.·CRD# 20945
BD
Los Angeles, CA
January 7, 1988 - June 18, 2003
ILG SECURITIES CORPORATION·CRD# 422
BD
Kansas City, MO
June 10, 1986 - May 23, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES·CRD# 4039
BD
April 12, 1982 - July 29, 1982
USLIFE EQUITY SALES CORP.·CRD# 7962
BD
February 8, 1982 - December 17, 1985
ENTERPRISE FUND DISTRIBUTORS, INC.·CRD# 883
BD
July 27, 1976 - January 31, 1980
PIEDMONT CAPITAL CORPORATION·CRD# 7679
BD
July 8, 1974 - May 2, 1979
INDEPENDENT SECURITIES CORPORATION·CRD# 262
BD
December 1, 1970 - July 21, 1974

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Current Firm

AS
ANDRICK SECURITIES CORP.

ANDRICK SECURITIES CORP.

CRD#: 20945 / SEC#: 8-38578
BD
Terminated by SEC on 05/21/2004

Contact Information

Established

California since 09/01/1987

Firm Type

Corporation

Fiscal Year End

July

Documents

Direct owners and executive officers

NamePositionCRD#
ANDRICK FINANCIAL & INSURANCE SERVICES CORPORATIONPARENT—
ANDRICK, ROBERT ARTHURDIRECTOR, SECRETARY6007
STEIN, RONALDCHIEF COMPLIANCE OFFICER, FINANCIAL & OPERATIONS PRINCIPAL434761

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 1 — Registered Representative Examination

Passed Oct 1970

Series 27 — Financial and Operations Principal Examination

Passed Oct 1987About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Aug 1987About the Series 24 exam

Series 00 — General Securities Principal Examination

Passed Nov 1970

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CRS (Client Relationship Summary)

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

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