Akshai O. Maxwell
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.
Akshai Oliver Maxwell, who also goes by Akshai Maxwell, was a registered financial professional .
Akshai is a previously registered financial professional and started their career in finance in 2005. Akshai had worked at 4 firms and has passed the Series 66, SIE 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
June 29, 2017 - September 12, 2018
REGAL WEALTH GROUP INC.
April 7, 2017 - June 29, 2017
MAXWELL CAPITAL ADVISOR, LLC
November 29, 2016 - December 22, 2016
MORGAN STANLEY
November 10, 2016 - December 22, 2016
MORGAN STANLEY
December 5, 2005 - April 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
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
Current Firm
REGAL WEALTH GROUP INC.
CRD#: 138374 / SEC#: 801-65444
Contact information
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.
