Maxwell T Moritz
CFP®Professional Summary
Maxwell T Moritz, CFP®, who also goes by Max Trenton Moritz, Maxwell Trenton Moritz, is a registered financial advisor currently at THE WELLINGTON GRP LLC located in Indianapolis, Indiana. Maxwell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Maxwell has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Max Trenton Moritz, Maxwell Trenton Moritz
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Videos & Posts
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Contact Information
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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.
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Credentials
Years of Experience
11 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
THE WELLINGTON GROUP | WELLINGTONWS, LLC | THE WELLINGTON GRP LLC
Contact Information
Main Address
9000 Keystone Crossing Suite 400, Indianapolis, IN 46240Phone Number
(317) 846-5055# of Employees
10SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,516AUM (Assets Under Management)
$473,645,985Similar Advisors
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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.
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Primary Firm SEC Registration
THE WELLINGTON GROUP | WELLINGTONWS, LLC | THE WELLINGTON GRP LLC
State Registrations and Notice Filings
(10/17/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Maxwell T Moritz's CRS (Customer Relationship Summary).
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