Max Kimball

SOFI WEALTH LLC

Cottonwood Heights, UT 84121

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CRD#: 5293746

Professional summary

Max Kimball, who also goes by Max M Kimball Jr, Max M Kimball, Max Morris Kimball Jr, Max Morris Kimball, Max Kimball, Maury Kimball, is a registered financial advisor currently at SOFI WEALTH LLC located in Cottonwood Heights, Utah and SOFI SECURITIES LLC located in Cottonwood Heights, Utah.

Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Max has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

8/1/2019 - present; providing office support for Signature Real Estate Utah. The role includes book keeping, mailing late notices to tenants, and occasionally helping a client buy or sell a property on weekends and evenings only - less than 20 hrs./week, none during normal business/trading hours; not investment related. 10/2024 - present; not investment related; 6605 grand montecito pkwy #150 Las Vegas, NV 89149; real estate agent, devote 2 hours a month; 0 hours during trading or business hours; use license to conduct realestate activity in NV cnnected with and to Signature Real Estate Group

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Max Kimball'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 27, 2019 - Present

SOFI WEALTH LLC

Office #1: 2750 E Cottonwood Pkwy #300, Cottonwood Heights, UT 84121

RIA

CRD#: 167958

Cottonwood Heights, UT

Current

June 28, 2019 - Present

SOFI SECURITIES LLC

Office #1: 2750 E Cottonwood Parkway Suite 300, Cottonwood Heights, UT 84121

CRD#: 151717

Cottonwood Heights, UT

Past

September 26, 2014 - October 2, 2017

MORGAN STANLEY

RIA

CRD#: 149777

SOUTH JORDAN, UT

Past

January 23, 2014 - October 2, 2017

MORGAN STANLEY

CRD#: 149777

SOUTH JORDAN, UT

Past

March 17, 2011 - November 12, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SALT LAKE CITY, UT

Past

July 10, 2008 - May 25, 2010

E*TRADE SECURITIES LLC

CRD#: 29106

SANDY, UT

Past

January 1, 2008 - July 15, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

May 21, 2007 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SALT LAKE CITY, UT

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".

SOFI WEALTH LLC

SOFI ADVISORS LLC | SOFI WEALTH LLC

CRD#: 167958 / SEC#: 801-78185

RIA

Registered Investment Advisory firm - (6/14/2013 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Utah
(6/27/2019)

Utah
(6/28/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/26/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/25/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/2/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/18/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/29/2016

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

SOFI WEALTH LLC

SOFI ADVISORS LLC | SOFI WEALTH LLC

CRD#: 167958 / SEC#: 801-78185

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

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Contact information

Main Address

234 1st Street, San Francisco, CA 94105

Mailing Address

Phone number

(855) 525-7634

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOFI WEALTH ADV PART 2A (2/27/2025)

SOFI WEALTH ADV PART 2A APPENDIX 1 WRAP FEE BROCHURE (2/27/2025)

Regulatory assets under management

Total Number of Accounts	279,216
AUM (Assets Under Management)	$ 1,475,104,376

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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Advisor Monitoring

Firm Stability Insights

Max Kimball

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Max Kimball's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOFI SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

WELLS FARGO CLEARING SERVICES, LLC

E*TRADE SECURITIES LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

SOFI WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2014

Series 63

Date: 5/25/2007

Series 99TO

Date: 1/2/2023

SIE

Date: 10/2/2017

Series 7

Date: 7/24/2008

Series 6

Date: 5/18/2007

Series 9

Date: 8/29/2016

FINRA

Current Firm

SOFI WEALTH LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOFI WEALTH LLC

TRUST BUT VERIFY

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