Jem P. Maxwell
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.
Jem Paul Maxwell was a registered financial advisor .
Jem is a previously registered financial advisor and started their career in finance in 2000. Jem had worked at 5 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2008 - July 28, 2009
BREWER FINANCIAL SERVICES, LLC
November 17, 2006 - February 25, 2008
CHICAGO INVESTMENT GROUP, LLC
February 13, 2004 - November 20, 2006
ADVANCED EQUITIES, INC.
January 29, 2004 - November 20, 2006
ADVANCED EQUITIES, INC.
November 3, 2000 - January 2, 2004
KEYBANC CAPITAL MARKETS INC.
January 21, 2000 - November 10, 2000
CIBC WORLD MARKETS CORP.
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
Current Firm
BREWER FINANCIAL SERVICES, LLC
CRD#: 132558 / SEC#: , 8-66603
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 2 |
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.
