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David G. Maxham

STATE STREET GLOBAL MARKETS
Boston, MA 02114-2016
Some features on this profile are disabled
CRD#: 6372664
DM

Professional summary

David Gould Maxham is a registered financial professional currently at STATE STREET GLOBAL MARKETS, LLC located in Boston, Massachusetts.

David is registered as a RR (Registered Representative) and started their career in finance in 2014. David has worked at 3 firms and has passed the SIE, Series 99 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view David Gould Maxham's 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

August 5, 2019 - Present

STATE STREET GLOBAL MARKETS, LLC

Office #1: One Congress Street, Suite 1, Boston, MA 02114-2016
BD
CRD#: 285852
Boston, MA
Past

September 30, 2017 - July 28, 2022

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
STAMFORD, CT
Past

August 6, 2014 - July 1, 2016

GE INVESTMENT DISTRIBUTORS, INC

BD
CRD#: 32087
STAMFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 8/6/2014
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/28/2018
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

SS
STATE STREET GLOBAL MARKETS, LLC
STATE STREET GLOBAL MARKETS, LLC | STATE STREET NEWCO, LLC

CRD#: 285852 / SEC#: , 8-69862

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Mailing Address
One Congress Street, Suite 1, Boston, MA 02114-2016
Phone number
(617) 664-3619
Established
Delaware since 10/07/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
STATE STREET CORPORATIONPARENT COMPANY
BAMBINO, JOHN JOSEPHCHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER4237874
CHARLAND, JOSEPH LEONARDDIRECTOR5183891
FISCHER, MARTIN ROBERTCHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER1692872
FORTUNA, GREGORY PAULDIRECTOR3168105
MAXHAM, DAVID GOULDDIRECTOR6372664
MCKEON, ROBERT ADIRECTOR7638847
MORGAN, DANIEL ROBERTCHIEF EXECUTIVE OFFICER2743457
SIGLAIN, TARYN ANNDIRECTOR5163466
SOR, LYDIRECTOR7996223
TRABUCCO, MARK RUSSELLCHIEF COMPLIANCE OFFICER4856280

Disclosures

Regulatory Event4

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

STATE STREET GLOBAL MARKETS, LLC

CRD#: 285852Boston, MA 02114-2016

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