Donna M. Maxim
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.
Donna Marie Maxim was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 2002. Donna had worked at 1 firm and has passed the Series 63 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
May 31, 2002 - May 6, 2013
AMERICAN RESEARCH & MANAGEMENT COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AMERICAN RESEARCH & MANAGEMENT COMPANY
CRD#: 6080 / SEC#: 801-14979, 8-16846
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCINTIRE, ANDREW FLETCHER | VICE PRESIDENT- CHIEF COMPLIANCE OFFICER | |
| STRAND, ERIC HAAKON | PRESIDENT | 2963186 |
Regulatory assets under management
| Total Number of Accounts | 830 |
| AUM (Assets Under Management) | $ 642,532,427 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/28/2022 | ||
| 09/24/2022 |
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.
