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Otoniel F. Maxwell

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CRD#: 6581526
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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Otoniel Francisco Maxwell, who also goes by Otoniel F Heinrichs, Otoniel Francisco Maxwell, Otoniel F Maxwell, Otoniel Maxwell, was a registered financial professional .

Otoniel is a previously registered financial professional and started their career in finance in 2020. Otoniel had worked at 5 firms and has passed the Series 65 and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Otoniel F Heinrichs | Otoniel Francisco Maxwell | Otoniel F Maxwell | Otoniel Maxwell

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 1, 2024 - October 8, 2024

FOCUS PARTNERS WEALTH, LLC

RIA
CRD#: 159289
PORTLAND, OR
Past

March 7, 2024 - July 1, 2024

BUCKINGHAM STRATEGIC WEALTH, LLC

RIA
CRD#: 143323
PORTLAND, OR
Past

January 6, 2022 - January 4, 2024

MARINER WEALTH

RIA
CRD#: 140195
Portland, OR
Past

May 20, 2021 - January 28, 2022

CASCADIA ADVISORY SERVICES, LLC

RIA
CRD#: 290231
PORTLAND, OR
Past

November 25, 2020 - May 7, 2021

ROI FINANCIAL

RIA
CRD#: 160100
BEAVERTON, OR

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FOCUS PARTNERS WEALTH, LLC
FOCUS PARTNERS WEALTH, LLC
ATLAS PRIVATE WEALTH MANAGEMENT | THE COLONY GROUP, LLC | THE COLONY GROUP OF MISSOURI, LLC | THE COLONY GROUP OF FLORIDA, LLC | NEIRG WEALTH MANAGEMENT | MID-CONTINENT CAPITAL | INTEROCEAN CAPITAL GROUP | HUNT VALLEY WEALTH | HOYLECOHEN | GYL FINANCIAL SYNERGIES | GW & WADE AT THE COLONY GROUP | GW & WADE | GRATUS CAPITAL | FOCUS PARTNERS WEALTH, LLC | D. K. BREDE INVESTMENT MANAGEMENT COMPANY, A FOCUS PARTNERS WEALTH COMPANY | D. K. BREDE INVESTMENT MANAGEMENT COMPANY | CONNECTUS PRIVATE | COLONY WEALTH MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | COLONY INVESTMENT MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | CHURCHILL MANAGEMENT GROUP | BUCKINGHAM STRATEGIC WEALTH

CRD#: 159289 / SEC#: 801-72862

RIA
Registered Investment Advisory firm - (12/7/2011 Approved)

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

State Security Law Exam
IAR
Series 65
Date: 11/25/2020
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/27/2018
Securities Industry Essentials Examination

Current Firm

FOCUS PARTNERS WEALTH, LLC
FOCUS PARTNERS WEALTH, LLC
ATLAS PRIVATE WEALTH MANAGEMENT | THE COLONY GROUP, LLC | THE COLONY GROUP OF MISSOURI, LLC | THE COLONY GROUP OF FLORIDA, LLC | NEIRG WEALTH MANAGEMENT | MID-CONTINENT CAPITAL | INTEROCEAN CAPITAL GROUP | HUNT VALLEY WEALTH | HOYLECOHEN | GYL FINANCIAL SYNERGIES | GW & WADE AT THE COLONY GROUP | GW & WADE | GRATUS CAPITAL | FOCUS PARTNERS WEALTH, LLC | D. K. BREDE INVESTMENT MANAGEMENT COMPANY, A FOCUS PARTNERS WEALTH COMPANY | D. K. BREDE INVESTMENT MANAGEMENT COMPANY | CONNECTUS PRIVATE | COLONY WEALTH MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | COLONY INVESTMENT MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | CHURCHILL MANAGEMENT GROUP | BUCKINGHAM STRATEGIC WEALTH

CRD#: 159289 / SEC#: 801-72862

RIA
Registered Investment Advisory firm - (12/7/2011 Approved)
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Contact information

Main Address
190 Carondelet Plaza Suite 600, St. Louis, MO 63105
Mailing Address
Phone number
(314) 725-0455
Established
Firm type
Fiscal year end
# of Employees
1,600

SEC notice filing (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/7/2025)
ADV PART 2A APPENDIX - WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts124,141
AUM (Assets Under Management)$ 95,889,888,426

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/20/2024
Cover Page
Report
07/26/2023
Cover Page
Report

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

FOCUS PARTNERS WEALTH, LLC

FOCUS PARTNERS WEALTH, LLC

CRD#: 159289

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