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NM

Neil Maxwell

Some features on this profile are disabled
CRD#: 5010950
NM

Professional summary

Neil Maxwell was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Neil is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Neil had worked at 7 firms, which includes MAXWELL WEALTH PLANNING INC., BUTTON FINANCIAL, EDWARD JONES, KEY INVESTMENT SERVICES LLC, WELLS FARGO INVESTMENTS LLC, AMERIPRISE FINANCIAL SERVICES LLC, WORLD GROUP SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 25, 2014 - December 31, 2018

MAXWELL WEALTH PLANNING, INC.

RIA
CRD#: 171485
PARKER, CO
Past

May 22, 2014 - October 27, 2015

BUTTON FINANCIAL

RIA
CRD#: 114111
LAKEWOOD, CO
Past

January 21, 2011 - January 8, 2013

EDWARD JONES

RIA
CRD#: 250
ARVADA, CO
Past

January 21, 2011 - January 8, 2013

EDWARD JONES

BD
CRD#: 250
ARVADA, CO
Past

September 15, 2010 - January 21, 2011

KEY INVESTMENT SERVICES LLC

RIA
CRD#: 136300
DENVER, CO
Past

September 15, 2010 - January 21, 2011

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
DENVER, CO
Past

November 17, 2006 - August 24, 2010

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
WHEATRIDGE, CO
Past

November 17, 2006 - August 24, 2010

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
WHEATRIDGE, CO
Past

August 15, 2006 - October 6, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
DENVER, CO
Past

May 20, 2006 - October 6, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
DENVER, CO
Past

November 4, 2005 - May 18, 2006

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/14/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/22/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/3/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MW
MAXWELL WEALTH PLANNING, INC.
MAXWELL WEALTH PLANNING | MAXWELL, NEIL | MAXWELL WEALTH PLANNING, INC.

CRD#: 171485 / SEC#:

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Contact information

Main Address
Parker, CO
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
HawaiiERA - Withdrawn - Failed to Renew12/31/2018
TexasERA - Withdrawn8/27/2015

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

MAXWELL WEALTH PLANNING, INC.

CRD#: 171485

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