Max W. Mccollum
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.
Max William Mccollum JR was a registered financial professional .
Max is a previously registered financial professional and started their career in finance in 1973. Max had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2011 - December 31, 2016
ROBERT W. BAIRD & CO. INCORPORATED
August 26, 2011 - December 31, 2016
ROBERT W. BAIRD & CO. INCORPORATED
September 9, 2005 - August 30, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 9, 2005 - August 30, 2011
WELLS FARGO CLEARING SERVICES, LLC
December 31, 2001 - September 13, 2005
LEGG MASON WOOD WALKER, INCORPORATED
October 2, 1990 - September 13, 2005
LEGG MASON WOOD WALKER, INCORPORATED
September 10, 1990 - October 2, 1990
LEGG MASON WOOD WALKER, INCORPORATED
April 10, 1980 - September 17, 1990
WACHOVIA SECURITIES, INC.
February 24, 1978 - May 2, 1980
MORGAN STANLEY DW INC.
June 20, 1973 - February 24, 1978
REYNOLDS SECURITIES, INC.
Primary Firm SEC Registration
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
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: 6/18/1973
Registered Representative ExaminationSeries 40
Date: 9/27/1976
Registered Principal ExaminationSeries 12
Date: 9/9/1976
NYSE Branch Manager ExaminationCurrent Firm
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158 / SEC#: 801-7571, 8-497
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
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.
