Maxwell M. Rossi

ARGENTARII

CINCINNATI, OH 45209

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CRD#: 7452110

Professional summary

Maxwell M Rossi, who also goes by Maxwell Rossi, is a registered financial advisor currently at ARGENTARII, LLC located in Cincinnati, Ohio.

Maxwell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Maxwell has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Maxwell Rossi

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) - RIA

Click below to view Maxwell M Rossi'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

July 26, 2024 - Present

ARGENTARII, LLC

Office #1: 3825 Edwards Road Ste 650, Cincinnati, OH 45209

RIA

CRD#: 332112

CINCINNATI, OH

Past

February 21, 2023 - July 23, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CINCINNATI, OH

Past

October 27, 2022 - July 23, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CINCINNATI, OH

Past

December 3, 2021 - March 23, 2022

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

CHICAGO, IL

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".

ARGENTARII, LLC

CRD#: 332112 / SEC#: 801-130699

RIA

Registered Investment Advisory firm - (7/16/2024 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Ohio
(7/26/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/10/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/28/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/3/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/14/2021

Securities Industry Essentials Examination

Current Firm

ARGENTARII, LLC

CRD#: 332112 / SEC#: 801-130699

RIA

Registered Investment Advisory firm - (7/16/2024 Approved)

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Contact information

Main Address

3825 Edwards Road Ste 650, Cincinnati, OH 45209

Mailing Address

Phone number

(513) 488-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/27/2025)

Regulatory assets under management

Total Number of Accounts	383
AUM (Assets Under Management)	$ 293,787,123

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.

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Advisor Monitoring

Firm Stability Insights

Maxwell M. Rossi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maxwell M Rossi's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

ARGENTARII, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/10/2023

Series 63

Date: 1/28/2022

Series 7TO

Date: 12/3/2021

SIE

Date: 6/14/2021

Current Firm

ARGENTARII, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARGENTARII, LLC

TRUST BUT VERIFY

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