Maximiliaan Rutten
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.
Maximiliaan Rutten, who also goes by Max Rutten, was a registered financial professional .
Maximiliaan is a previously registered financial professional and started their career in finance in 2006. Maximiliaan had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31 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 25, 2013 - March 10, 2016
FIRST LIBERTIES FINANCIAL
January 20, 2012 - December 31, 2012
SPOUTING ROCK CAPITAL ADVISORS, LLC
April 25, 2011 - September 15, 2011
KIDRON CAPITAL SECURITIES LLC
January 1, 2008 - April 6, 2010
ALLIANCEBERNSTEIN L.P.
December 17, 2007 - April 6, 2010
SANFORD C. BERNSTEIN & CO., LLC
November 27, 2006 - August 2, 2007
COHEN & COMPANY SECURITIES, LLC
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
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
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.
