Nicolas Maxwell
Professional Summary
Nicolas Maxwell is a registered financial advisor currently at MARIVA CAPITAL MARKETS, LLC located in Miami, Florida. Nicolas is registered as a RR (Registered Representative) and started their career in finance in 2009. Nicolas has worked at 2 firms and has passed the Series 63, SIE, Series 7TO and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
MARIVA CAPITAL MARKETS, LLC
Contact Information
Main Address
150 Se 2nd Avenue Suite Ph 4, Miami, FL 33131Mailing Address
150 Se 2nd Avenue Suite Ph 4, Miami, FL 33131Phone Number
(305) 712-6919Established
Florida since 04/13/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (11 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicolas Maxwell's CRS (Customer Relationship Summary).
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