WM
William T. Maxwell
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CRD#: 3239706
WM
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.
William Thomas Maxwell, who also goes by Bill Maxwell, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1999. William had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bill Maxwell
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.
1. 5/14/2015 No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Start Date: 5/18/2015 - Selling medicare supplements. 2. 10/16/2015 - KCP Investments - INV REL - AT REPORTED BUSINESS LOCATION(S) - Business Entity For Tax/Investment Purposes Only - START 10/01/2015 - 5 Hours Per Month/4 Hours During Securities Trading - Life, health and non-variable annuity business. 3. 10/7/2021 - HighPoint Advisor Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/30/2021 - 100 Hours Per Month/6 Hours During Securities Trading - RIA and DBA. 4. 11/10/2021 - HighPoint Advisor Group - DBA: (Hybrid) HighPoint Planning Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 08/31/2021 - 100 Hours Per Month/6 Hours During Securities Trading. 5. 11/23/2021 - HighPoint Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started 08/31/2021 - 100 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through HighPoint Advisor Group, an independent investment advisor firm. I started this business activity in 08/2021. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 09/06/2023 - HIGHPOINT ADVISOR GROUP, LLC - Investment Related - At Reportable Business Location - Registered Investment Advisor DBA - Start Date 09/01/2023 - 40 Hours Per Month 5 Hours During Trading
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
November 16, 2021 - December 31, 2024
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 316636
DOWNERS GROVE, IL
Past
August 30, 2021 - December 31, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
Chocowinity, NC
Past
April 3, 2020 - August 31, 2021
LEVEL FOUR ADVISORY SERVICES
RIA
CRD#: 134086
Chocowinity, NC
Past
May 14, 2015 - April 8, 2020
OPUS WEALTH MANAGEMENT GROUP
RIA
CRD#: 176525
Chocowinity, NC
Past
May 14, 2015 - December 31, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
DOWNERS GROVE, IL
Past
June 2, 2010 - May 20, 2015
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
GURNEE, IL
Past
March 10, 2010 - May 20, 2015
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
GURNEE, IL
Past
August 14, 1999 - March 12, 2010
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
NORTHBROOK, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - (10/29/2021 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
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Contact information
Main Address
2651 Warrenville Road Suite 200, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 719-9222
Established
Firm type
Fiscal year end
# of Employees
104
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,813 |
| AUM (Assets Under Management) | $ 3,999,000,000 |
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.
