MM
Maxwell M. Morgan
DWS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6403537
MM
Professional summary
Maxwell M Morgan, who also goes by Maxwell M Morgan, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Chicago, Illinois.
Maxwell is registered as a RR (Registered Representative) and started their career in finance in 2015. Maxwell has worked at 5 firms and has passed the Series 65, Series 63, Series 31, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Maxwell M 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.
Provide business-to-business marketing and solicitation activities to downstream intermediaries regarding Separately Managed Accounts and Model Portfolio Delivery options of select advisers contracted with Touchstone Securities. Approximately two hours per business week during trading hours, compensated via an override as percentage of management fee. Name: City Council of North Bend. Investment related: No. Address: 21 Taylor Ave PO Box 537 North Bend, OH 45052. Nature: Elected duties for the village of North Bend. Position/title: City Council. Start date: 1/1/22. Approximate number of hours devoted to business: 1-5. Approximate number of hours devoted to securities trading: 0. Duties: Elected duties for the village of North Bend
CRS (Client Relationship Summary) - BD
Click below to view Maxwell M Morgan'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®
NoneExperience
Current
June 3, 2025 - Present
DWS DISTRIBUTORS, INC.
Office #1: 222 South Riverside Plaza, Chicago, IL 60606BD
CRD#: 37306
Chicago, IL
Past
April 4, 2023 - May 29, 2025
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
North Bend, OH
Past
April 4, 2023 - May 29, 2025
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
May 29, 2019 - April 6, 2023
TOUCHSTONE ADVISORS INC
RIA
CRD#: 107028
CINCINNATI, OH
Past
April 21, 2015 - April 6, 2023
TOUCHSTONE SECURITIES, INC.
BD
CRD#: 1526
CINCINNATI, OH
Past
February 17, 2015 - April 14, 2015
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
CINCINNATI, OH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Illinois(6/3/2025)
RR
Indiana(6/18/2025)
RR
Kentucky(6/3/2025)
RR
New York(6/3/2025)
RR
Ohio(6/3/2025)
RR
Pennsylvania(6/3/2025)
RR
West Virginia(6/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/4/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
