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MK

Max R. Konzelman

ARBOR RESEARCH & TRADING
Lake Barrington, IL 60010
Some features on this profile are disabled
CRD#: 4650920
MK

Professional summary

Max R Konzelman, who also goes by Max Konzelman, is a registered financial professional currently at ARBOR RESEARCH & TRADING, LLC located in Lake Barrington, Illinois.

Max is registered as a RR (Registered Representative) and started their career in finance in 2003. Max has worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Max Konzelman

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 Max R Konzelman'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

May 29, 2007 - Present

ARBOR RESEARCH & TRADING, LLC

Office #1: 22333 Classic Court, Lake Barrington, IL 60010
BD
CRD#: 21313
Lake Barrington, IL
Past

May 23, 2005 - May 30, 2007

CHAPDELAINE TULLETT PREBON, LLC

BD
CRD#: 7017
CHICAGO, IL
Past

September 18, 2003 - May 25, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
OAK BROOK, IL
Past

June 27, 2003 - May 25, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
Connecticut
(5/12/2023)
RR
Illinois
(5/30/2007)
RR
Minnesota
(6/12/2015)
RR
New Mexico
(3/21/2023)
RR
North Dakota
(7/14/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/6/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 12/23/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/26/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AR
ARBOR RESEARCH & TRADING, LLC
ARBOR RESEARCH & TRADING, | HART CAPITAL MANAGEMENT | FIXED INCOME PARTNERS, INC. | ARBOR TRADING GROUP, INC. | ARBOR RESEARCH & TRADING, LLC | ARBOR RESEARCH & TRADING, INC.

CRD#: 21313 / SEC#: , 8-38818

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

Main Address
22333 Classic Court, Lake Barrington, IL 60010
Mailing Address
22333 Classic Court, Lake Barrington, IL 60010
Phone number
(847) 304-1550
Established
Delaware since 06/28/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ARBOR RESEARCH HOLDINGS, LLCOWNER
HANDLER, FRED DAVID JRCHIEF EXECUTIVE OFFICER & DIRECTOR1278354
LUSTIG, DANIEL JAYEXECUTIVE VICE PRESIDENT1496662
MCELWREATH, EDWARD THOMASEXECUTIVE VICE PRESIDENT1111324
MOISE, MICHAEL PAULPRESIDENT, FINOP & DIRECTOR5910037
MOISE, MICHAEL PAULCHIEF COMPLIANCE OFFICER5910037

Disclosures

Regulatory Event2

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

ARBOR RESEARCH & TRADING, LLC

CRD#: 21313Lake Barrington, IL 60010

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