Max H. Asnes

FIERSTON FINANCIAL GROUP

WEST HARTFORD, CT 06107

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CRD#: 7138635

Professional summary

Max Harrison Asnes is a registered financial advisor currently at FIERSTON FINANCIAL GROUP INC located in West Hartford, Connecticut.

Max is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Max has worked at 2 firms and has passed the Series 7TO 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.

Independent Insurance Agent; not investment-related; started 07/2020; zero hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Max Harrison Asnes'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

May 31, 2024 - Present

FIERSTON FINANCIAL GROUP INC

Office #1: 29 South Main St Suite 302, West Hartford, CT 06107

RIA

CRD#: 105003

WEST HARTFORD, CT

Past

October 18, 2021 - January 4, 2022

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

FARMINGTON, CT

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".

FIERSTON FINANCIAL GROUP INC

CRD#: 105003 / SEC#: 801-34803

RIA

Registered Investment Advisory firm - (7/14/1989 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(5/31/2024)

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

General Industry/Product Exam

Series 7TO

Date: 10/18/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/26/2020

Securities Industry Essentials Examination

Current Firm

FIERSTON FINANCIAL GROUP INC

CRD#: 105003 / SEC#: 801-34803

RIA

Registered Investment Advisory firm - (7/14/1989 Approved)

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Contact information

Main Address

29 South Main St Suite 302, West Hartford, CT 06107

Mailing Address

Phone number

(860) 521-2100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/12/2025)

Regulatory assets under management

Total Number of Accounts	932
AUM (Assets Under Management)	$ 942,560,611

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/18/2024	Cover Page	Report
08/24/2023	Cover Page	Report
08/23/2023	Cover Page	Report
08/23/2022	Cover Page	Report

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.

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Max H. Asnes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Max Harrison Asnes's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIERSTON FINANCIAL GROUP INC

COMMONWEALTH FINANCIAL NETWORK

Primary Firm SEC Registration

FIERSTON FINANCIAL GROUP INC

State Registrations and Notice Filings

Exams

Series 7TO

Date: 10/18/2021

SIE

Date: 9/26/2020

Current Firm

FIERSTON FINANCIAL GROUP INC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIERSTON FINANCIAL GROUP INC

TRUST BUT VERIFY

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