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MH

Maxim A. Hatch

PZENA FINANCIAL SERVICES
New York, NY 10022
Some features on this profile are disabled
CRD#: 7380529
MH

Professional summary

Maxim Alexander Hatch, who also goes by Max Hatch, is a registered financial professional currently at PZENA FINANCIAL SERVICES, LLC located in New York, New York.

Maxim is registered as a RR (Registered Representative) and started their career in finance in 2022. Maxim has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Max Hatch

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) - BD

Click below to view Maxim Alexander Hatch'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

November 16, 2023 - Present

PZENA FINANCIAL SERVICES, LLC

Office #1: 320 Park Avenue 8th Floor, New York, NY 10022Office #2: 320 Park Avenue 8th Floor, New York, NY, 10022
BD
CRD#: 169807
New York, NY
Past

May 5, 2023 - November 8, 2023

SEI INVESTMENTS MANAGEMENT CORP

RIA
CRD#: 105146
OAKS, PA
Past

October 13, 2022 - November 8, 2023

SEI INVESTMENTS DISTRIBUTION CO.

BD
CRD#: 10690
OAKS, PA
Past

January 1, 2022 - May 9, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
PLYMOUTH MEETING, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/16/2023)
RR
Colorado
(11/16/2023)
RR
Illinois
(11/16/2023)
RR
Kentucky
(11/16/2023)
RR
New York
(11/16/2023)
RR
Ohio
(11/16/2023)
RR
Texas
(11/16/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/5/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/16/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/30/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/5/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PZENA FINANCIAL SERVICES, LLC
PZENA FINANCIAL SERVICES, LLC

CRD#: 169807 / SEC#: , 8-69390

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
320 Park Avenue 8th Floor, New York, NY, 10022
Mailing Address
320 Park Avenue 8th Floor, New York, NY, 10022
Phone number
(212) 355-1600
Established
Delaware since 10/15/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PZENA INVESTMENT MANAGEMENT LLCSHAREHOLDER106847
ARNOLD, VALERIE RENECO-HEAD OF NORTH AMERICAN DISTRIBUTION3257541
COFFEY, STEVEN MARKCHIEF COMPLIANCE OFFICER7692630
DORAN, JESSICA RYANCFO/FINOP6406095
LIPSEY, WILLIAM LOUISCEO1553822
TYNDALE, ELIZABETH WEISSCO-HEAD OF NORTH AMERICAN DISTRIBUTION2666648

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

PZENA FINANCIAL SERVICES, LLC

CRD#: 169807New York, NY 10022

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