Robert W. Maxwell

WESTBURY GROUP LLC

Westport, CT 06880

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CRD#: 4061503

Professional summary

Robert William Maxwell is a registered financial professional currently at WESTBURY GROUP LLC located in Westport, Connecticut.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Robert William 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

October 3, 2005 - Present

WESTBURY GROUP LLC

Office #1: 39 Riverside Ave, Westport, CT 06880

CRD#: 129985

Westport, CT

Past

January 25, 2002 - July 9, 2002

COMMODORE SECURITIES CORP.

CRD#: 36002

NEW YORK, NY

Past

April 26, 2000 - July 24, 2002

IRONWOOD CAPITAL LTD.

CRD#: 102560

AVON, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Colorado
(11/8/2018)

Connecticut
(10/3/2005)

Exams

State Security Law Exam

Series 63

Date: 9/13/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/1/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 28

Date: 7/27/2011

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/27/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WESTBURY GROUP LLC

CRD#: 129985 / SEC#: , 8-66284

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

39 Riverside Avenue, Westport, CT 06880

Mailing Address

39 Riverside Avenue, Westport, CT 06880

Phone number

(203) 883-9000

Established

Connecticut since 11/13/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
24 FOREST LANE ASSOCIATES LLC	SHAREHOLDER
ABACUS CAPITAL PARTNERS LLC	SHAREHOLDER
IMPERIUM ASSOCIATES LLC	SHAREHOLDER
MAXWELL, ROBERT WILLIAM	CHIEF COMPLIANCE OFFICER	4061503
RUBIN, JONATHAN BENNET	MANAGING MEMBER	5017659

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Robert W. Maxwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert William Maxwell's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMODORE SECURITIES CORP.

IRONWOOD CAPITAL LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/13/2006

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/1/2000

Series 14

Date: 1/2/2023

Series 28

Date: 7/27/2011

Series 24

Date: 7/27/2000

FINRA

Current Firm

WESTBURY GROUP LLC

Contact information

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

WESTBURY GROUP LLC

TRUST BUT VERIFY

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