John Maxey

REDEMPTION CAPITAL

Midland, TX 79701

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CRD#: 6592071

Professional summary

John Maxey, who also goes by Cole Maxey, J C Maxey, John Cole Maxey, is a registered financial advisor currently at REDEMPTION CAPITAL located in Midland, Texas.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. John has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cole Maxey | J C Maxey | John Cole Maxey

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.

1) John Cole Maxey; Investment-related; 608 W Kansas, Midland, Texas 79701; Rental Real Estate Property; Owner; Approx. 4 hours per month; 0 hours per month during securities trading hours; Manage Rental Property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Maxey's CRS (Customer Relationship Summary).

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

October 13, 2020 - Present

REDEMPTION CAPITAL

Office #1: 800 N Marienfeld Suite 101, Midland, TX 79701

RIA

CRD#: 310824

Midland, TX

Past

April 29, 2022 - January 27, 2023

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Midland, TX

Past

October 9, 2020 - November 9, 2020

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Midland, TX

Past

June 8, 2017 - October 14, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MIDLAND, TX

Past

June 8, 2017 - October 14, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MIDLAND, TX

Past

June 3, 2016 - June 9, 2017

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MIDLAND, TX

Past

April 19, 2016 - June 9, 2017

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MIDLAND, TX

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".

REDEMPTION CAPITAL

REDEMPTION CAPITAL | REDEMPTION CAPITAL, LLC | REDEMPTION CAPITAL PARTNERS, LLC

CRD#: 310824 / SEC#: 801-123416

RIA

Registered Investment Advisory firm - (3/10/2022 Approved)

Texas

Registered Investment Advisory firm - (2/21/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(10/13/2020)

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

State Security Law Exam

IAR

Series 66

Date: 6/2/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/14/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/2016

General Securities Representative Examination

Current Firm

REDEMPTION CAPITAL

REDEMPTION CAPITAL | REDEMPTION CAPITAL, LLC | REDEMPTION CAPITAL PARTNERS, LLC

CRD#: 310824 / SEC#: 801-123416

RIA

Registered Investment Advisory firm - (3/10/2022 Approved)

Texas

Registered Investment Advisory firm - (2/21/2025 Terminated)

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Contact information

Main Address

800 N Marienfeld Suite 101, Midland, TX 79701

Mailing Address

Phone number

(432) 236-0866

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	380
AUM (Assets Under Management)	$ 265,516,783

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.

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Advisor Monitoring

Firm Stability Insights

John Maxey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Maxey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

CONCORDE INVESTMENT SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

REDEMPTION CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 6/2/2016

Series 7TO

Date: 3/14/2022

SIE

Date: 10/1/2018

Series 7

Date: 4/19/2016

Current Firm

REDEMPTION CAPITAL

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REDEMPTION CAPITAL

TRUST BUT VERIFY

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