AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SM

Shawn K. Maxwell

Some features on this profile are disabled
CRD#: 5162036
SM

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.

Shawn Kelly Maxwell was a registered financial professional .

Shawn is a previously registered financial professional and started their career in finance in 2007. Shawn had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

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.
I OWN AND OPERATE CUSTODY 123, LLC. IT IS EXCLUSIVELY A WEBSITE (CUSTODY 123.COM). IT IS A RESOURCE FOR PARENTS THAT ARE GOING THROUGH CHILD CUSTODY DISPUTES. THERE IS A FORUM, RESEARCH AND ARGUMENT MAPS FOR SALE. CUSTODY 123, LLC DOES NOT HAVE ANY FINANCIAL ACCOUNTS AT ANY INSTITUTION. CUSTODY 123, LLC DOES NOT HAVE A CONFLICT OF INTEREST WITH NY UNION BANK ACTIVITY. FURTHERMORE, I WILL NOT BE HANDLING ANY OBA DURING MY WORK HOURS AT UNION BANK. I CURRENTLY HAVE NO COMPENSATION FROM CUSTODY 123. CUSTODY 123 HAS $0 REVENUE. I WILL SPEND 1-4 HOURS A MONTH DURING MY PERSONAL TIME TO KEEP THE COMPANY OPERATIONAL. ///// HONEY MOBILE INC; NOT INVESTMENT RELATED; THE ADDRESS IS 500 CORNELIA ST., WASCO, CA 93280; THE NATURE OF THE BUISNESS IS A START-UP SMARTPHONE MANUFACTURING COMPANY; TITLE: PRESIDENT. START OF THE RELATIONSHIP WAS APRIL 20, 2016; DUTIES: NONE. THIS COMPANY WAS A STARTUP THAT NEVER MAE IT TO PRODUCTION - THE COMPANY HAS BEEN SHELVED; NO TIME IS DEVOTED TO THE BUSINESS EACH MONTH DURING OR OUTSIDE OF SECURITIES TRADING HOURS. ///// JOMA RENTALS LLC; REAL ESTATE INVESTMENTS; INVESTMENT RELATED; WASCO, CA; THE NATURE OF THE BUSINESS IS TO ACQUIRE AND RENT RESIDENTIAL PROPERTIES; TITLE: PRESIDENT/REGISTERED AGENT; DUTIES: NEGOTIATE CONTRACTS; AFFILIATION STARTED 05/18/2016; THE APPROXIMATE NUMBER OF HOURS A MONTH I SPEND ON THE BUSINESS IS 5-10 HRS. THERE IS 0 HRS DEVOTED TO THE BUSINESS DURING BUSINESS HOURS.

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

February 24, 2021 - December 19, 2022

MAXWELL INVESTMENT ADVISORY AND WEALTH MANAGEMENT LLC

RIA
CRD#: 311133
BAKERSFIELD, CA
Past

October 2, 2017 - October 8, 2020

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
Bakersfield, CA
Past

October 2, 2017 - October 8, 2020

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Bakersfield, CA
Past

November 13, 2009 - October 2, 2017

U.S. BANCORP ADVISORS, LLC

RIA
CRD#: 14455
WASCO, CA
Past

November 13, 2009 - October 2, 2017

U.S. BANCORP ADVISORS, LLC

BD
CRD#: 14455
WASCO, CA
Past

June 9, 2009 - December 2, 2009

OAKFIELD FINANCIAL, LLC

RIA
CRD#: 150047
MERCED, CA
Past

February 29, 2008 - March 26, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
MERCED, CA
Past

February 28, 2008 - March 26, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
MERCED, CA
Past

February 13, 2008 - February 28, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
FRESNO, CA
Past

September 12, 2007 - February 28, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
FRESNO, CA

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: 2/12/2008
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 7
Date: 9/5/2007
General Securities Representative Examination

Current Firm

MI
MAXWELL INVESTMENT ADVISORY AND WEALTH MANAGEMENT LLC
MAXWELL INVESTMENT ADVISORY AND WEALTH MANAGEMENT | MAXWELL INVESTMENT ADVISORY AND WEALTH MANAGEMENT LLC

CRD#: 311133 / SEC#:

Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3501 Mall View Rd Ste 115-390, Bakersfield, CA 93306
Mailing Address
Phone number
(661) 585-6195
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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 INVESTMENT ADVISORY AND WEALTH MANAGEMENT LLC

CRD#: 311133

TRUST BUT VERIFY

Monitor Shawn Maxwell

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics