ML
Max A. Lepley
KANANI ADVISORY GROUP
IRVINE, CA 92618
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CRD#: 6956791
ML
Professional summary
Max Alan Lepley is a registered financial advisor currently at KANANI ADVISORY GROUP INC. located in Irvine, California.
Max is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Max has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE 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.
1. Kanani Financial & Insurance Services Inc.; Insurance Agent; Investment Related; 16440 Bake Parkway Suite 150 Irvine CA 92618; Insurance Company; Offer clients advice regarding insurance products, process sales of insurance products, provide ongoing service to insurance book of business; Start date with business: 2025-03-11; Hours per month devoted to business during trading hours: 160; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 80; Contact person at the organization: David Kanani; Website address for the organization: www.kananiadvisorygroup.com.
CRS (Client Relationship Summary) - RIA
Click below to view Max Alan Lepley'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®
NoneExperience
Current
October 17, 2024 - Present
KANANI ADVISORY GROUP INC.
Office #1: 16440 Bake Parkway Suite 150, Irvine, CA 92618RIA
CRD#: 288314
IRVINE, CA
Past
December 13, 2022 - May 29, 2024
MFS INSTITUTIONAL ADVISORS INC.
RIA
CRD#: 107144
BOSTON, MA
Past
November 12, 2019 - May 29, 2024
MFS FUND DISTRIBUTORS, INC.
BD
CRD#: 31052
PHOENIX, AZ
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
KANANI ADVISORY GROUP INC.
KANANI ADVISORY GROUP | NAVID KANANI | KANANI, NAVID | KANANI FINANCIAL & INSURANCE SERVICES, INC. | KANANI ADVISORY GROUP INC.
CRD#: 288314 / SEC#: 801-125845
RIA
Registered Investment Advisory firm - (6/27/2022 Approved)California
Registered Investment Advisory firm - (11/20/2022 Terminated)Kentucky
Registered Investment Advisory firm - (10/21/2022 Terminated)Texas
Registered Investment Advisory firm - (10/21/2022 Terminated)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
California(10/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/31/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 11/12/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
KA
KANANI ADVISORY GROUP INC.
KANANI ADVISORY GROUP | NAVID KANANI | KANANI, NAVID | KANANI FINANCIAL & INSURANCE SERVICES, INC. | KANANI ADVISORY GROUP INC.
CRD#: 288314 / SEC#: 801-125845
RIA
Registered Investment Advisory firm - (6/27/2022 Approved)California
Registered Investment Advisory firm - (11/20/2022 Terminated)Kentucky
Registered Investment Advisory firm - (10/21/2022 Terminated)Texas
Registered Investment Advisory firm - (10/21/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
16440 Bake Parkway Suite 150, Irvine, CA 92618
Mailing Address
Phone number
(949) 502-7001
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 986 |
| AUM (Assets Under Management) | $ 201,509,044 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
