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MK

Maksim Kapustin

Some features on this profile are disabled
CRD#: 7275241
MK

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Maksim Kapustin, who also goes by Maksim Evgenevich Kapustin, Maks Kapustin, Maksim Kapustin, was a registered financial professional .

Maksim is a previously registered financial professional and started their career in finance in 2020. Maksim had worked at 7 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maksim Evgenevich Kapustin | Maks Kapustin | Maksim Kapustin

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 5, 2025 - March 18, 2026

MERCER GLOBAL ADVISORS INC.

RIA
CRD#: 147363
Minneapolis, MN
Past

October 6, 2022 - February 18, 2025

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
PLYMOUTH, MN
Past

October 5, 2022 - February 18, 2025

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
PLYMOUTH, MN
Past

October 3, 2022 - February 24, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
PLYMOUTH, MN
Past

July 9, 2021 - October 6, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MINNEAPOLIS, MN
Past

July 9, 2021 - October 6, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 8, 2020 - June 3, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Minnetonka, MN
Past

December 8, 2020 - June 3, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Minnetonka, MN
Past

August 14, 2020 - November 17, 2020

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
MINNEAPOLIS, MN
Past

July 31, 2020 - November 17, 2020

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
MINNEAPOLIS, MN

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".
MG
MERCER GLOBAL ADVISORS INC.
MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.

CRD#: 147363 / SEC#: 801-69271

RIA
Registered Investment Advisory firm - (5/30/2008 Approved)

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

State Security Law Exam
RR
IAR
Series 66
Date: 5/28/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/30/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/6/2020
Securities Industry Essentials Examination

Current Firm

MG
MERCER GLOBAL ADVISORS INC.
MERCER ADVISORS | MERCER GLOBAL ADVISORS INC.

CRD#: 147363 / SEC#: 801-69271

RIA
Registered Investment Advisory firm - (5/30/2008 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1200 17th Street Suite 2000, Denver, CO 80202
Mailing Address
Phone number
(888) 885-8101
Established
Firm type
Fiscal year end
# of Employees
1,166

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MERCER ADVISORS ADV 2A 12/24/2025 (12/24/2025)

Regulatory assets under management

Total Number of Accounts99,044
AUM (Assets Under Management)$ 60,256,270,580

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/29/2025
Cover Page
Report
07/31/2024
Cover Page
Report
09/28/2023
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.

Company Information

MERCER GLOBAL ADVISORS INC.

CRD#: 147363

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