MB
Max H. Baker
FLOURISH FINANCIAL LLC
New York, NY 10016
Some features on this profile are disabled
CRD#: 7430343
MB
Professional summary
Max Hoffman Baker is a registered financial professional currently at FLOURISH FINANCIAL LLC located in New York, New York.
Max is registered as a RR (Registered Representative) and started their career in finance in 2023. Max has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Max Hoffman Baker'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
March 12, 2024 - Present
FLOURISH FINANCIAL LLC
Office #1: 2 Park Avenue 11th Floor, New York, NY 10016BD
CRD#: 293019
New York, NY
Past
June 28, 2023 - September 1, 2023
CLSA AMERICAS, LLC
BD
CRD#: 165533
NEW YORK, NY
Past
January 1, 2023 - June 21, 2023
TRADEWEB LLC
BD
CRD#: 42759
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
Alabama(3/12/2024)
RR
Alaska(3/12/2024)
RR
Arizona(3/12/2024)
RR
Arkansas(3/12/2024)
RR
California(3/12/2024)
RR
Colorado(3/12/2024)
RR
Connecticut(3/12/2024)
RR
Delaware(3/12/2024)
RR
District of Columbia(3/12/2024)
RR
Florida(3/12/2024)
RR
Georgia(3/12/2024)
RR
Hawaii(3/12/2024)
RR
Idaho(3/12/2024)
RR
Illinois(3/12/2024)
RR
Indiana(3/12/2024)
RR
Iowa(3/12/2024)
RR
Kansas(3/12/2024)
RR
Kentucky(3/12/2024)
RR
Louisiana(3/12/2024)
RR
Maine(3/12/2024)
RR
Maryland(3/12/2024)
RR
Massachusetts(3/12/2024)
RR
Michigan(3/12/2024)
RR
Minnesota(3/12/2024)
RR
Mississippi(3/12/2024)
RR
Missouri(3/12/2024)
RR
Montana(3/12/2024)
RR
Nebraska(3/12/2024)
RR
Nevada(3/12/2024)
RR
New Hampshire(3/12/2024)
RR
New Jersey(3/12/2024)
RR
New Mexico(3/12/2024)
RR
New York(3/12/2024)
RR
North Carolina(3/12/2024)
RR
North Dakota(3/12/2024)
RR
Ohio(3/12/2024)
RR
Oklahoma(3/12/2024)
RR
Oregon(3/12/2024)
RR
Pennsylvania(3/12/2024)
RR
Puerto Rico(3/12/2024)
RR
Rhode Island(3/12/2024)
RR
South Carolina(3/12/2024)
RR
South Dakota(3/12/2024)
RR
Tennessee(3/12/2024)
RR
Texas(3/12/2024)
RR
Utah(3/12/2024)
RR
Vermont(3/12/2024)
RR
Virgin Islands(3/12/2024)
RR
Virginia(3/12/2024)
RR
Washington(3/12/2024)
RR
West Virginia(3/12/2024)
RR
Wisconsin(3/12/2024)
RR
Wyoming(3/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/31/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FLOURISH FINANCIAL LLC
FLOURISH FINANCIAL LLC | STONE RIDGE SECURITIES LLC
CRD#: 293019 / SEC#: , 8-70093
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
2 Park Avenue 11th Floor, New York, NY 10016
Mailing Address
2 Park Avenue 11th Floor, New York, NY 10016
Phone number
(833) 808-5700
Established
Delaware since 11/03/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FLOURISH HOLDING COMPANY LLC | SOLE MEMBER | |
| CRUIKSHANK, BENJAMIN EVERETT | PRESIDENT | 5682701 |
| LANE, MAXWELL KEITH | CHIEF EXECUTIVE OFFICER | 6111790 |
| MURRAY, KATE | CHIEF COMPLIANCE OFFICER, COUNSEL, SECRETARY | 4958654 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 4364402 |
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.
