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JM

Joseph P. Maxwell

JOHNSON RICE & COMPANY L.L.C.
New Orleans, LA 70113-7105
Some features on this profile are disabled
CRD#: 4212407
JM

Professional summary

Joseph Paul Maxwell is a registered financial professional currently at JOHNSON RICE & COMPANY L.L.C. located in New Orleans, Louisiana.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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 Joseph Paul Maxwell's CRS (Customer Relationship Summary).
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

February 6, 2026 - Present

JOHNSON RICE & COMPANY L.L.C.

Office #1: 639 Loyola Avenue-ste 2775, New Orleans, LA 70113-7105
BD
CRD#: 19524
New Orleans, LA
Past

October 14, 2021 - February 2, 2026

BA SECURITIES, LLC

BD
CRD#: 153489
W. CONSHOHOCKEN, PA
Past

April 13, 2009 - August 11, 2021

JOHNSON RICE & COMPANY L.L.C.

BD
CRD#: 19524
NEW ORLEANS, LA
Past

October 7, 2005 - April 6, 2009

FORTIS SECURITIES LLC

BD
CRD#: 103714
NEW YORK, NY
Past

January 10, 2003 - August 23, 2005

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

April 30, 2001 - May 29, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

January 16, 2001 - April 30, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Louisiana
(2/6/2026)
RR
New York
(2/6/2026)
RR
Texas
(2/6/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/1/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/12/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/28/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

JR
JOHNSON RICE & COMPANY L.L.C.
JOHNSON RICE & COMPANY | LESLIE ASSOCIATES | JOHNSON RICE & COMPANY L.L.C.

CRD#: 19524 / SEC#: , 8-37567

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
639 Loyola Avenue-ste 2775, New Orleans, LA 70113-7105
Mailing Address
639 Loyola Avenue-ste 2775, New Orleans, LA 70113
Phone number
(504) 584-1229
Established
Louisiana since 06/01/1987
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHARBONNET, JOSEPH STOREYMEMBER/SALES MANAGER2456551
CULICCHIA, LEONARD PETERMEMBER1912845
CUMMINGS, JOSHUA CRAIGMEMBER/HEAD OF CORPORATE FINANCE2971569
NALTY, MORGAN SHAWMEMBER1849366
ROWAN, JOHN FORNEY JRMEMBER2262387
SHERIDAN, MARKMEMBER2316138
VARISCO JR, PAUL JOSEPHMEMBER4376671
VARISCO, VINNIE RAMELMEMBER/HEAD OF TRADING2707435
CUMMINGS, CLAYTON PAULMEMBER4897142
GREEN, GEORGE ROBBERTMEMBER1090141
GUNDLACH, MARK LEWISMEMBER3100859
MALLOY, MARTIN WHITTIERMEMBER/HEAD OF RESEARCH/CHIEF FINANCIAL OFFICER2423461
MARCOTTE, BRIAN TROYCHIEF COMPLIANCE OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER1182101
MEADE, CHARLES ARTHURMEMBER5587028
SEREMET, JOSEPH JOHN IIIMEMBER4990513

Disclosures

Regulatory Event7
Arbitration2
Bond1

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.

Company Information

JOHNSON RICE & COMPANY L.L.C.

CRD#: 19524New Orleans, LA 70113-7105

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