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Maxwell C. Bauder

STONEX FINANCIAL
Birmingham, AL 35243
Some features on this profile are disabled
CRD#: 6867279
MB

Professional summary

Maxwell Conrad Bauder, who also goes by Max Bauder, Maxwell Bauder, is a registered financial professional currently at STONEX FINANCIAL INC. located in Birmingham, Alabama and STONEX SECURITIES INC. located in Birmingham, Alabama.

Maxwell is registered as a RR (Registered Representative) and started their career in finance in 2023. Maxwell has worked at 2 firms and has passed the Series 7TO, Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Max Bauder | Maxwell Bauder

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) - BD

Click below to view Maxwell Conrad Bauder'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

February 26, 2025 - Present

STONEX FINANCIAL INC.

Office #1: 2 Perimeter Park South Suite 100w, Birmingham, AL 35243
BD
CRD#: 45993
Birmingham, AL
Current

April 2, 2025 - Present

STONEX SECURITIES INC.

Office #1: 2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
BD
CRD#: 18456
Birmingham, AL
Past

February 10, 2023 - October 23, 2023

STONEX FINANCIAL INC.

BD
CRD#: 45993
BIRMINGHAM, AL

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

General Industry/Product Exam
RR
Series 7TO
Date: 8/15/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 2/10/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 11/21/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SS
STONEX SECURITIES INC.
C G MATON FINANCIAL SERVICES , INC. | STONEX WEALTH MANAGEMENT | STONEX SECURITIES INC. | STERNE AGEE FINANCIAL SERVICES, INC. | SOUTHEAST NETWORK EQUITIES GROUP, INC. | SAL FINANCIAL SERVICES, INC. | SA STONE WEALTH MANAGEMENT INC. | INVESTECH CAPITAL CORPORATION | CAPITAL GROWTH MANAGEMENT INC.

CRD#: 18456 / SEC#: , 8-36638

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Phone number
(800) 292-2411
Established
Delaware since 01/22/2002
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STONEX GROUP INC.100% OWNER
BOLTE, DAVID ALBERTSECRETARY2711410
CARTER, JAY WILSONPRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR2412541
DAVISON, STUART ANDREWDIRECTOR7824576
DUNAWAY, WILLIAM JOHNDIRECTOR6505923
HUGO, MARK ERICPOO2177412
LYON, CHARLES MARTINDIRECTOR4000852
MAURER, MARK LDIRECTOR4234406
MCAUSLAN, JAMES BUCHANANDIRECTOR7658964
PARKER, BRIAN LANECHIEF COMPLIANCE OFFICER, ROSFP4635848
PORZIO, JOSEPH JOHNCFO / PFO / FINOP1319702
RICHARDSON, MARCUS BRYANTCHIEF OPERATING OFFICER3037932
SMITH, PHILIP ANDREWDIRECTOR, CHAIRMAN OF THE BOARD4999097

Disclosures

Regulatory Event9
Arbitration4

Red Flags

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Company Information

STONEX SECURITIES INC.

CRD#: 18456Birmingham, AL 35243

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