ML
Maxwell J. Loeb
KESTRA ADVISORY SERVICES
VALHALLA, NY 10595
Some features on this profile are disabled
CRD#: 6603985
ML
Professional summary
Maxwell James Loeb, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Valhalla, New York and KESTRA INVESTMENT SERVICES, LLC located in Valhalla, New York.
Maxwell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Maxwell has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Business Name: Westchester Benefit Group, Inc. Investment Related: Yes Address: 500 Summit Lake Drive Suite 120 Valhalla NY 10595 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Adviser Start Date: 8/10/2015 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Financial planning for clients including insurance and investment advice. Business Name: Kestra Advisory Services LLC Investment Related: Yes Address: 5707 Southwest Pkway Bldg 2 Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Advisor Start Date: 7/11/2016 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: Advising clients on investments Business Name: 'Waterway Wealth Advisors' Investment Related: Yes Address: 500 Summit Lake Dr. Valhalla NY 10595 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Director of Financial Planning Start Date: 3/1/2021 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Same as existing duties. Financial Advisor marketed under DBA ROBERT S. LOEB, LLC POSITION: Owner/Partner NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/26/2022 ADDRESS: 500 Summit Lake Dr., Valhalla NY 10595, United States DESCRIPTION: I have no duties. I was assigned 99% ownership for estate planning purposes. WESTCHESTER BENEFIT GROUP, INC. POSITION: Financial Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 152 SECURITIES TRADING HOURS: 80 START DATE: 08/10/2015 ADDRESS: 500 Summit Lake Drive Suite 120, Valhalla NY 10595, United States DESCRIPTION: Financial planning for clients including insurance and investment advice. THE CLASSIC 15E LLC POSITION: Owner NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/04/2022 ADDRESS: 25 Forest St, 15E, Stamford CT 06901, United States DESCRIPTION: Rent out the unit, collect rent, maintain property.
CRS (Client Relationship Summary) - RIA
Click below to view Maxwell James Loeb'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®
CFP®
Start date: 2019
Experience
Current
July 28, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 500 Summit Lake Dr. Ste. 120, Valhalla, NY 10595Office #2: 140 Elm St, New Canaan, CT 06840RIA
CRD#: 283330
VALHALLA, NY
Current
April 26, 2016 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 500 Summit Lake Dr. Ste. 120, Valhalla, NY 10595Office #2: 140 Elm St, New Canaan, CT 06840BD
CRD#: 42046
VALHALLA, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.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
Colorado(1/21/2021)
RR
Connecticut(3/24/2017)
IAR
Connecticut(6/11/2024)
RR
Florida(4/20/2017)
RR
Georgia(7/15/2019)
RR
Hawaii(11/13/2023)
RR
Maryland(6/2/2017)
RR
Massachusetts(4/27/2021)
RR
New Hampshire(9/23/2016)
RR
New Jersey(3/16/2017)
RR
New York(7/14/2016)
IAR
New York(6/7/2021)
RR
North Carolina(2/19/2024)
RR
Ohio(6/13/2017)
RR
Pennsylvania(2/16/2024)
RR
South Carolina(5/4/2018)
RR
Tennessee(12/20/2019)
RR
Texas(3/23/2022)
IAR
Texas(9/8/2022)
RR
Vermont(6/24/2021)
RR
Virginia(2/15/2018)
RR
Washington(9/19/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
