Maxwell Baldwin Smith
Professional Summary
Maxwell Baldwin Smith, who also goes by Maxwell B Smith, was a registered financial advisor. Maxwell was a previously registered financial professional and started their career in finance 1974 - 2009. Maxwell had worked at 10 firms and has passed the Series 63 and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Maxwell B Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
52 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
CANTONE RESARCH INC. | LINE SECURITIES, INC. | CANTONE RESEARCH INC.
Contact Information
Main Address
36 Corbett Way, Eatontown, NJ 07724Phone Number
(732) 450-3500Established
New Jersey since 02/14/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
9Documents
Direct owners and executive officers
Disclosures
Regulatory Event
13Civil Event
1Arbitration
2Bond
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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.
Series 1 — Registered Representative Examination
Passed Jul 1974Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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