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Maxine E Morgan

Maxine E. Morgan

STRATEGIC ADVISERS LLC | Assistant Branch Leader
OXNARD, CA
Some features on this profile are disabled
CRD#: 5952480
Maxine E Morgan

Professional summary

Maxine E Morgan, who also goes by Maxine Elizabeth Holland, Maxine Elizabeth Morgan, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Oxnard, California and FIDELITY BROKERAGE SERVICES LLC located in Woodland Hills, California.

Maxine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Maxine has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Biography

I lead a team of associates who are committed to understanding our client's needs and helping them navigate the financial planning journey.
top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Maxine Elizabeth Holland | Maxine Elizabeth Morgan

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maxine E Morgan'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

Education

Stanford University

Bachelor of Economics - Economics

2011

Stanford University

Bachelor of Arts (BA) - Classical Studies

2011

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 6363 Topanga Canyon Blvd, Woodland Hills, CA 91367-2215
RIA
CRD#: 104555
OXNARD, CA
Current

December 2, 2011 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 6363 Topanga Canyon Boulevard, Woodland Hills, CA 91367-2215
BD
CRD#: 7784
Woodland Hills, CA
Past

July 13, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
WOODLAND HILLS, CA
Past

March 15, 2012 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
THOUSAND OAKS, CA
Past

September 22, 2011 - November 9, 2011

MORGAN STANLEY

RIA
CRD#: 149777
OXNARD, CA
Past

August 29, 2011 - November 9, 2011

MORGAN STANLEY

BD
CRD#: 149777
OXNARD, 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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 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.
RR
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

RR
Arizona
(1/3/2013)
RR
California
(12/2/2011)
IAR
California
(3/31/2025)
RR
Massachusetts
(1/5/2018)
RR
Nevada
(1/3/2013)
RR
Texas
(1/4/2019)
IAR
Texas
(3/31/2025)
RR
Utah
(1/17/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/21/2011
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: 8/26/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/21/2013
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/25/2013
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)
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Contact information

Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)
FIDELITY STRATEGIC DISCIPLINES (11/10/2025)
FIDELITY WEALTH SERVICES (9/10/2025)
STRATEGIC ADVISERS LLC (9/10/2025)
FIDELITY MANAGED FIDFOLIOS (3/31/2025)
FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)
FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,486,631
AUM (Assets Under Management)$ 1,067,664,605,590

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/24/2025
Cover Page
Report

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

STRATEGIC ADVISERS LLC

Assistant Branch LeaderCRD#: 104555Oxnard, CA

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