MH
Maxwell Hadlock
FLORIDA FINANCIAL ADVISORS
Tempe, AZ 85284
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CRD#: 7429142
MH
Professional summary
Maxwell Hadlock, who also goes by Max Hadlock, is a registered financial advisor currently at FLORIDA FINANCIAL ADVISORS, LLC located in Tempe, Arizona and TRINITY WEALTH SECURITIES, L.L.C. located in Tempe, Arizona.
Maxwell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Maxwell has worked at 2 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Max Hadlock
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.
Single family rental property Investment related 7517 Laurel Springs Dr, Winter Park, Florida 32792 I have a mortgage on the property, upon moving to Tampa, I am now renting the property out to a family. Me and my wife serve as the landlords as well. Start date of 1/1/2023 I devote about 3 hours a week to this business, none during securitites trading hours. I simply communicate with the tenants of the property to ensure they are happy and the property is well kept. oFlorida Financial Advisors. Investment Related. Tampa, FL 33634. Nature of Business: RIA. Position: Financial Consultant. Start Date: 01/2023. Hours per Month: 160. Hours per Month During Trading Hours: 160. Investment Related Activities. oFlorida Financial Insurance. Not Investment Related. Tampa, FL 33634. Fixed Insurance Sales. 01/2023. Hours per Month: 10 hours during trading. Duties: fixed insurance sales. oTrinity Wealth Securities, LLC. Investment Related. City, State. Nature of Business: Securities Sales. Position: Securities Sales. Start Date: 01/2023. Hours per Month: 160. Hours per Month During Trading Hours: 160. Investment Related Activities.
CRS (Client Relationship Summary) - RIA
Click below to view Maxwell Hadlock'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®
NoneExperience
Current
August 23, 2021 - Present
FLORIDA FINANCIAL ADVISORS, LLC
Office #1: 51 W Elliot Rd, Suite 101, Tempe, AZ 85284RIA
CRD#: 288811
Tempe, AZ
Current
October 1, 2021 - Present
TRINITY WEALTH SECURITIES, L.L.C.
Office #1: 51 W Elliot Road Suite 101, Tempe, AZ 85284BD
CRD#: 104348
Tempe, AZ
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".
FLORIDA FINANCIAL ADVISORS, LLC
FLORIDA FINANCIAL ADVISORS, INC. | TRISTATE FINANCIAL ADVISORS | MICKOOL INC. | MICKOOL INC | MCADAM FA TAMPA | GEORGIA FINANCIAL ADVISORS | FLORIDA FINANCIAL ADVISORS, LLC
CRD#: 288811 / SEC#: 801-127276
RIA
Registered Investment Advisory firm - (2/3/2023 Approved)Florida
Registered Investment Advisory firm - (2/8/2023 Terminated)Georgia
Registered Investment Advisory firm - (3/20/2023 Terminated)New Jersey
Registered Investment Advisory firm - (2/8/2023 Terminated)North Carolina
Registered Investment Advisory firm - (2/10/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (2/9/2023 Terminated)Texas
Registered Investment Advisory firm - (2/8/2023 Terminated)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.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(3/25/2024)
IAR
Florida(8/23/2021)
RR
Florida(10/1/2021)
RR
New Jersey(10/4/2022)
IAR
Texas(5/30/2024)
RR
Utah(1/21/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 10/1/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FLORIDA FINANCIAL ADVISORS, LLC
FLORIDA FINANCIAL ADVISORS, INC. | TRISTATE FINANCIAL ADVISORS | MICKOOL INC. | MICKOOL INC | MCADAM FA TAMPA | GEORGIA FINANCIAL ADVISORS | FLORIDA FINANCIAL ADVISORS, LLC
CRD#: 288811 / SEC#: 801-127276
RIA
Registered Investment Advisory firm - (2/3/2023 Approved)Florida
Registered Investment Advisory firm - (2/8/2023 Terminated)Georgia
Registered Investment Advisory firm - (3/20/2023 Terminated)New Jersey
Registered Investment Advisory firm - (2/8/2023 Terminated)North Carolina
Registered Investment Advisory firm - (2/10/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (2/9/2023 Terminated)Texas
Registered Investment Advisory firm - (2/8/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6550 W Hillsborough Avenue Suite 130, Tampa, FL 33634
Mailing Address
Phone number
(813) 333-1683
Established
Firm type
Fiscal year end
# of Employees
465
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,769 |
| AUM (Assets Under Management) | $ 317,826,011 |
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.
