Maxwell B. Smith
Professional summary
Maxwell Baldwin Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Maxwell is a previously registered financial professional and started their career in finance in 1974. Prior to being barred, Maxwell had worked at 10 firms, which includes CANTONE RESEARCH INC., PNC WEALTH MANAGEMENT LLC, J.J.B. HILLIARD W.L. LYONS LLC, ATLANTIC GROUP SECURITIES INC., RICKEL & ASSOCIATES INC., ADVEST INC., HERBERT J. SIMS & CO INC., MORGAN STANLEY DW INC., LOEB RHOADES & CO, PAINE WEBBER JACKSON & CURTIS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2005 - April 3, 2009
CANTONE RESEARCH INC.
January 1, 2004 - January 13, 2005
PNC WEALTH MANAGEMENT LLC
December 10, 1999 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
September 9, 1997 - December 8, 1999
ATLANTIC GROUP SECURITIES, INC.
August 6, 1990 - August 29, 1997
RICKEL & ASSOCIATES, INC.
May 4, 1988 - August 13, 1990
ADVEST, INC.
February 6, 1981 - May 9, 1988
HERBERT J. SIMS & CO, INC.
May 1, 1979 - February 14, 1981
MORGAN STANLEY DW INC.
March 24, 1975 - October 14, 1976
LOEB RHOADES & CO
July 31, 1974 - November 30, 1974
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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
Series 1
Date: 7/29/1974
Registered Representative ExaminationCurrent Firm
CANTONE RESEARCH INC.
CRD#: 26314 / SEC#: , 8-41940
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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