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MW

Maxwell Wittenberg

INDEPENDENT WEALTH SOLUTIONS
Encinitas, CA 92024-4481
Some features on this profile are disabled
CRD#: 7071572
MW

Professional summary

Maxwell Wittenberg, who also goes by Max Wittenberg, is a registered financial advisor currently at INDEPENDENT WEALTH SOLUTIONS located in Encinitas, California.

Maxwell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Maxwell has worked at 1 firm and has passed the Series 65 and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Max Wittenberg

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.
Property Manager for Wittenberg Rentals, spend 5 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maxwell Wittenberg'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®
None

Experience

Current

March 17, 2020 - Present

INDEPENDENT WEALTH SOLUTIONS

Office #1: 763 2nd St Suite 200, Encinitas, CA 92024-4481
RIA
CRD#: 281216
Encinitas, CA

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
(3/17/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/10/2020
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/28/2019
Securities Industry Essentials Examination

Current Firm

IW
INDEPENDENT WEALTH SOLUTIONS
INDEPENDENT FINANCIAL SOLUTIONS | WITTENBERG, STEVEN S. | WITTENBERG FINANCIAL, LP | WITTENBERG FINANCIAL AND INSURANCE SERVICES, INC. | INDEPENDENT WEALTH SOLUTIONS

CRD#: 281216 / SEC#:

California
Registered Investment Advisory firm - (10/30/2015 Approved)
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Contact information

Main Address
763 2nd St Suite 200, Encinitas, CA 92024-4481
Mailing Address
Phone number
(760) 942-1880
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts9
AUM (Assets Under Management)$ 4,311,924

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

INDEPENDENT WEALTH SOLUTIONS

CRD#: 281216Encinitas, CA 92024-4481

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