Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

AdvisorLive

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's AdvisorLive helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

MM

Maxwell Morgan

DWS DISTRIBUTORS

CHICAGO, IL

·CRD# 6403537·11 years experience

Professional Summary

Maxwell Morgan, who also goes by Maxwell M Morgan, is a registered financial advisor 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.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Maxwell M Morgan

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

Similar Advisors

Michael Walter Basile

Michael Walter Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL · CRD#

UBS FINANCIAL SERVICES INC.

CHICAGO, IL · CRD#

Jaime Rafael Villalobos

Jaime Rafael Villalobos

WILLIAM BLAIR

CHICAGO, IL · CRD#

Vincent Anthony Decrow

Vincent Anthony Decrow

RISE INVESTMENT MANAGEMENT, LLC

CHICAGO, IL · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Michael Walter Basile

Michael Walter Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL · CRD#

UBS FINANCIAL SERVICES INC.

CHICAGO, IL · CRD#

Jaime Rafael Villalobos

Jaime Rafael Villalobos

WILLIAM BLAIR

CHICAGO, IL · CRD#

Vincent Anthony Decrow

Vincent Anthony Decrow

RISE INVESTMENT MANAGEMENT, LLC

CHICAGO, IL · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

Michael Walter Basile

Michael Walter Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL · CRD#

UBS FINANCIAL SERVICES INC.

CHICAGO, IL · CRD#

Jaime Rafael Villalobos

Jaime Rafael Villalobos

WILLIAM BLAIR

CHICAGO, IL · CRD#

Vincent Anthony Decrow

Vincent Anthony Decrow

RISE INVESTMENT MANAGEMENT, LLC

CHICAGO, IL · CRD#

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.

Similar Advisors

Michael Walter Basile

Michael Walter Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL · CRD#

UBS FINANCIAL SERVICES INC.

CHICAGO, IL · CRD#

Jaime Rafael Villalobos

Jaime Rafael Villalobos

WILLIAM BLAIR

CHICAGO, IL · CRD#

Vincent Anthony Decrow

Vincent Anthony Decrow

RISE INVESTMENT MANAGEMENT, LLC

CHICAGO, IL · CRD#

Years of Experience

11 years in the financial services industry

Current & Past Employments

DWS DISTRIBUTORS, INC.·CRD# 37306

BD

222 South Riverside Plaza, Chicago, IL 60606

June 3, 2025 - Present

NEUBERGER BERMAN BD LLC·CRD# 2908

RIA

North Bend, OH

April 4, 2023 - May 29, 2025

NEUBERGER BERMAN BD LLC·CRD# 2908

BD

New York, NY

April 4, 2023 - May 29, 2025

TOUCHSTONE ADVISORS INC·CRD# 107028

RIA

Cincinnati, OH

May 29, 2019 - April 6, 2023

TOUCHSTONE SECURITIES, LLC·CRD# 1526

BD

Cincinnati, OH

April 21, 2015 - April 6, 2023

W&S BROKERAGE SERVICES, INC.·CRD# 8099

BD

Cincinnati, OH

February 17, 2015 - April 14, 2015

Similar Advisors

Michael Walter Basile

Michael Walter Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL · CRD#

UBS FINANCIAL SERVICES INC.

CHICAGO, IL · CRD#

Jaime Rafael Villalobos

Jaime Rafael Villalobos

WILLIAM BLAIR

CHICAGO, IL · CRD#

Vincent Anthony Decrow

Vincent Anthony Decrow

RISE INVESTMENT MANAGEMENT, LLC

CHICAGO, IL · CRD#

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)

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

(312) 537-7000

Established

Delaware since 09/20/1994

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Medium

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
DWS INVESTMENT MANAGEMENT AMERICAS , INC.	SHAREHOLDER	—
ABBOTT, KEVIN S	CHIEF OPERATING OFFICER AND DIRECTOR	4210778
BALUYOT, RHEEZA RAMOS	CHIEF FINANCIAL OFFICER	8028310
CHELEL, NICOLE M.	CHIEF COMPLIANCE OFFICER	4748490
O'CONNELL, BRIAN PATRICK	CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT	3089261
REUTER, MICHELLE S	VICE PRESIDENT	6572669
SHIELDS, JOHN POWELL JR	VICE PRESIDENT	1950330
VASSIL, JASON TODD	DIRECTOR AND VICE PRESIDENT	4477245
WILCZEWSKI, JOEL JOHN	VICE PRESIDENT	2815498

Disclosures

Regulatory Event

5

Arbitration

1

Similar Advisors

Michael Walter Basile

Michael Walter Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL · CRD#

UBS FINANCIAL SERVICES INC.

CHICAGO, IL · CRD#

Jaime Rafael Villalobos

Jaime Rafael Villalobos

WILLIAM BLAIR

CHICAGO, IL · CRD#

Vincent Anthony Decrow

Vincent Anthony Decrow

RISE INVESTMENT MANAGEMENT, LLC

CHICAGO, IL · CRD#

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

Similar Advisors

Michael Walter Basile

Michael Walter Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL · CRD#

UBS FINANCIAL SERVICES INC.

CHICAGO, IL · CRD#

Jaime Rafael Villalobos

Jaime Rafael Villalobos

WILLIAM BLAIR

CHICAGO, IL · CRD#

Vincent Anthony Decrow

Vincent Anthony Decrow

RISE INVESTMENT MANAGEMENT, LLC

CHICAGO, IL · CRD#

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(5/18/2026)

RR

Alaska
(5/18/2026)

RR

Arizona
(5/18/2026)

RR

Arkansas
(5/18/2026)

RR

California
(5/18/2026)

RR

Colorado
(5/18/2026)

RR

Connecticut
(5/18/2026)

RR

Delaware
(5/18/2026)

RR

District of Columbia
(5/18/2026)

RR

Florida
(5/18/2026)

RR

Georgia
(5/18/2026)

RR

Hawaii
(5/18/2026)

RR

Idaho
(5/18/2026)

RR

Illinois
(6/3/2025)

RR

Indiana
(6/18/2025)

RR

Iowa
(5/18/2026)

RR

Kansas
(5/18/2026)

RR

Kentucky
(6/3/2025)

RR

Louisiana
(5/18/2026)

RR

Maine
(5/18/2026)

RR

Maryland
(5/18/2026)

RR

Massachusetts
(5/18/2026)

RR

Michigan
(5/18/2026)

RR

Minnesota
(5/18/2026)

RR

Mississippi
(5/18/2026)

RR

Missouri
(5/18/2026)

RR

Montana
(5/18/2026)

RR

Nebraska
(5/18/2026)

RR

Nevada
(5/18/2026)

RR

New Hampshire
(5/18/2026)

RR

New Jersey
(5/18/2026)

RR

New Mexico
(5/18/2026)

RR

New York
(6/3/2025)

RR

North Carolina
(5/18/2026)

RR

North Dakota
(5/18/2026)

RR

Ohio
(6/3/2025)

RR

Oklahoma
(5/18/2026)

RR

Oregon
(5/18/2026)

RR

Pennsylvania
(6/3/2025)

RR

Puerto Rico
(5/18/2026)

RR

Rhode Island
(5/18/2026)

RR

South Carolina
(5/18/2026)

RR

South Dakota
(5/18/2026)

RR

Tennessee
(5/18/2026)

RR

Texas
(5/18/2026)

RR

Utah
(5/18/2026)

RR

Vermont
(5/18/2026)

RR

Virgin Islands
(5/18/2026)

RR

Virginia
(5/18/2026)

RR

Washington
(5/18/2026)

RR

West Virginia
(6/3/2025)

RR

Wisconsin
(5/18/2026)

RR

Wyoming
(5/18/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 2019About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2015About the Series 63 exam

Series 31 — Futures Managed Funds Examination

Passed Apr 2023About the Series 31 exam

Series 7TO — General Securities Representative Examination

Passed Sep 2020About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Feb 2015About the Series 6 exam

FINRA

SRO Registrations

Similar Advisors

Michael Walter Basile

Michael Walter Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL · CRD#

UBS FINANCIAL SERVICES INC.

CHICAGO, IL · CRD#

Jaime Rafael Villalobos

Jaime Rafael Villalobos

WILLIAM BLAIR

CHICAGO, IL · CRD#

Vincent Anthony Decrow

Vincent Anthony Decrow

RISE INVESTMENT MANAGEMENT, LLC

CHICAGO, IL · CRD#

CRS (Client Relationship Summary) - BD

Click below to view Maxwell Morgan's CRS (Customer Relationship Summary).

Similar Advisors

Michael Walter Basile

Michael Walter Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL · CRD#

UBS FINANCIAL SERVICES INC.

CHICAGO, IL · CRD#

Jaime Rafael Villalobos

Jaime Rafael Villalobos

WILLIAM BLAIR

CHICAGO, IL · CRD#

Vincent Anthony Decrow

Vincent Anthony Decrow

RISE INVESTMENT MANAGEMENT, LLC

CHICAGO, IL · CRD#

MM

Follow Maxwell

Get alerted to job moves, licensing changes, and new disclosures

Free — no card required