Maxwell Lee Carlos
Professional Summary
Maxwell Lee Carlos, who also goes by Max Carlos, Maxwell L Carlos, Maxwell Carlos, is a registered financial advisor currently at LAUREL WEALTH PLANNING located in Edina, Minnesota. Maxwell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Maxwell has worked at 2 firms and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Max Carlos, Maxwell L Carlos, Maxwell Carlos
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
5 years in the financial services industry
Current & Past Employments
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Current Firm
LAURA A. KUNTZ | LAUREL WEALTH PLANNING LLC | LAUREL WEALTH PLANNING | LAURA A. KUNTZ, CPA/PFS, MBT | LAURA A. KUNTZ, CPA, MBT
Contact Information
Main Address
3300 Edinborough Way Suite 790, Edina, MN 55435Phone Number
(952) 854-6250# of Employees
8SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,008AUM (Assets Under Management)
$453,642,492Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/20/2026 | Cover Page | Report |
| 10/08/2025 | Cover Page | Report |
| 01/08/2025 | Cover Page | Report |
| 07/21/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
LAURA A. KUNTZ | LAUREL WEALTH PLANNING LLC | LAUREL WEALTH PLANNING | LAURA A. KUNTZ, CPA/PFS, MBT | LAURA A. KUNTZ, CPA, MBT
State Registrations and Notice Filings
(2/28/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Maxwell Lee Carlos's CRS (Customer Relationship Summary).
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