Susan W. Maxey

ATLAS LEGACY ADVISORS LLC

PROSPER, TX

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CRD#: 5019872

Professional summary

Susan Wong Maxey, who also goes by Susan W Maxey, is a registered financial advisor currently at ATLAS LEGACY ADVISORS LLC located in Prosper, Texas and SENECA PRIVATE WEALTH, LLC located in Prosper, Texas.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Susan has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan W Maxey

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.

ROSENBACH PRIVATE WEALTH, LLC, INVT RELATED, PROSPER, TX, CLIENT ASSOCIATE/STAFF SUPPORT, START DATE 11/10/2023, 200 HRS PER MONTH, 130 HRS DURING TRADING, STAFF SUPPORT FOR FEE-ONLY RIA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Wong Maxey's CRS (Customer Relationship Summary).

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

June 4, 2024 - Present

ATLAS LEGACY ADVISORS LLC

RIA

CRD#: 329888

PROSPER, TX

Current

January 15, 2025 - Present

SENECA PRIVATE WEALTH, LLC

RIA

CRD#: 334161

PROSPER, TX

Past

October 17, 2012 - June 7, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LOS ANGELES, CA

Past

July 3, 2012 - June 7, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LOS ANGELES, CA

Past

October 21, 2008 - July 5, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BEVERLY HILLS, CA

Past

October 3, 2008 - October 31, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BEVERLY HILLS, CA

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".

ATLAS LEGACY ADVISORS LLC

CRD#: 329888 / SEC#: 801-129575

RIA

Registered Investment Advisory firm - (2/29/2024 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/4/2024)

IAR

Texas
(6/18/2024)

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: 10/9/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/2/2008

General Securities Representative Examination

Current Firm

ATLAS LEGACY ADVISORS LLC

CRD#: 329888 / SEC#: 801-129575

RIA

Registered Investment Advisory firm - (2/29/2024 Approved)

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Contact information

Main Address

1999 Avenue Of The Stars Suite 3350, Los Angeles, CA 90067

Mailing Address

Phone number

(310) 707-1275

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ATLAS LEGACY ADVISORS FORM ADV PART 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts	730
AUM (Assets Under Management)	$ 629,843,436

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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Firm Stability Insights

Susan W. Maxey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Wong Maxey's CRS (Customer Relationship Summary).

Certified licenses

Experience

SENECA PRIVATE WEALTH, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ATLAS LEGACY ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2012

SIE

Date: 10/1/2018

Series 7

Date: 10/2/2008

Current Firm

ATLAS LEGACY ADVISORS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ATLAS LEGACY ADVISORS LLC

TRUST BUT VERIFY

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