Maximilian Krentsel
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.
Maximilian Krentsel was a registered financial professional .
Maximilian is a previously registered financial professional and started their career in finance in 2001. Maximilian had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 62, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2017 - June 18, 2018
CETERA INVESTMENT ADVISERS LLC
December 6, 2017 - June 18, 2018
CETERA INVESTMENT SERVICES LLC
August 16, 2016 - December 7, 2017
INVEST FINANCIAL CORPORATION
July 27, 2016 - December 7, 2017
INVEST FINANCIAL CORPORATION
March 12, 2016 - July 20, 2016
MML INVESTORS SERVICES, LLC
April 22, 2013 - August 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 2013 - August 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2012 - April 8, 2013
HSBC SECURITIES (USA) INC.
June 29, 2012 - April 8, 2013
HSBC SECURITIES (USA) INC.
July 29, 2010 - May 14, 2012
ESSEX NATIONAL SECURITIES, LLC
April 22, 2010 - June 8, 2010
ESSEX NATIONAL SECURITIES, LLC
April 22, 2010 - May 14, 2012
ESSEX NATIONAL SECURITIES, LLC
May 2, 2009 - May 13, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - May 13, 2009
CHASE INVESTMENT SERVICES CORP.
April 16, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
April 16, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
September 27, 2006 - January 2, 2008
CHASE INVESTMENT SERVICES CORP.
September 27, 2006 - January 2, 2008
CHASE INVESTMENT SERVICES CORP.
July 10, 2006 - September 28, 2006
HSBC SECURITIES (USA) INC.
December 12, 2005 - September 28, 2006
HSBC SECURITIES (USA) INC.
November 9, 2004 - November 10, 2005
CITICORP INVESTMENT SERVICES
January 3, 2003 - November 10, 2005
CITICORP INVESTMENT SERVICES
August 29, 2001 - November 7, 2002
MORGAN STANLEY DW INC.
March 16, 2001 - August 7, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 62
Date: 3/15/2001
Corporate Securities Limited Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
