Christine N. Maxwell

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CRD#: 4755024

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.

Christine Nichole Maxwell, who also goes by Christine Nichole Hansen, was a registered financial professional .

Christine is a previously registered financial professional and started their career in finance in 2005. Christine had worked at 5 firms and has passed the Series 66, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christine Nichole Hansen

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 26, 2015 - March 3, 2016

BAKER ELLIS ASSET MANAGEMENT LLC

RIA

CRD#: 121802

Portland, OR

Past

December 5, 2011 - October 30, 2013

AFAM CAPITAL, INC.

RIA

CRD#: 108517

AUSTIN, TX

Past

December 5, 2011 - October 30, 2013

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

September 27, 2011 - November 30, 2011

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

July 19, 2007 - September 20, 2011

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

AUSTIN, TX

Past

November 4, 2005 - September 20, 2011

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BAKER ELLIS ASSET MANAGEMENT LLC

CRD#: 121802 / SEC#: 801-61479

RIA

Registered Investment Advisory firm - (9/20/2002 Approved)

California

Registered Investment Advisory firm - (1/6/2006 Cancelled)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/11/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/3/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/13/2006

General Securities Principal Examination

Current Firm

BAKER ELLIS ASSET MANAGEMENT LLC

CRD#: 121802 / SEC#: 801-61479

RIA

Registered Investment Advisory firm - (9/20/2002 Approved)

California

Registered Investment Advisory firm - (1/6/2006 Cancelled)

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Contact information

Main Address

805 Broadway St. Suite 400, Vancouver, WA 98660

Mailing Address

Phone number

(503) 227-5778

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLIENT GUIDE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	349
AUM (Assets Under Management)	$ 874,168,625

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.

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Advisor Monitoring

Firm Stability Insights

Christine N. Maxwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AFAM CAPITAL, INC.

NORTHERN LIGHTS DISTRIBUTORS, LLC

QUASAR DISTRIBUTORS, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

BAKER ELLIS ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/11/2006

Series 7

Date: 11/3/2005

Series 24

Date: 7/13/2006

Current Firm

BAKER ELLIS ASSET MANAGEMENT LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAKER ELLIS ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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