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ML

Maxwell W. Lawson

QUADRIGA SECURITIES
Denver, CO 80206
Some features on this profile are disabled
CRD#: 7404367
ML

Professional summary

Maxwell William Lawson is a registered financial professional currently at QUADRIGA SECURITIES, LLC located in Denver, Colorado.

Maxwell is registered as a RR (Registered Representative) and started their career in finance in 2021. Maxwell has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Maxwell William Lawson'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

August 9, 2023 - Present

QUADRIGA SECURITIES, LLC

Office #1: 44 Cook Street Suite 255, Denver, CO 80206
BD
CRD#: 153861
Denver, CO
Past

July 12, 2021 - March 6, 2023

EDGEMONT CAPITAL PARTNERS, L.P.

BD
CRD#: 122572
NEW YORK, NY

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
Colorado
(8/9/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/10/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/12/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/8/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

QS
QUADRIGA SECURITIES, LLC
QUADRIGA SECURITIES, LLC

CRD#: 153861 / SEC#: , 8-68580

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

Main Address
44 Cook Street Suite 255, Denver, CO 80206
Mailing Address
44 Cook Street Suite 255, Denver, CO 80206
Phone number
(303) 495-5514
Established
Colorado since 01/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
QUADRIGA PARTNERS, LLCMEMBER
FICKEN, JASON BUTCHPRINCIPAL, CHIEF COMPLIANCE OFFICER4250298
STEIGHNER, KAREN ANNFINOP1100675

Disclosures

Regulatory Event4

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

QUADRIGA SECURITIES, LLC

CRD#: 153861Denver, CO 80206

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