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MW

Maxwell C. Wallace

DOVER ADVISORS
Richmond, VA
Some features on this profile are disabled
CRD#: 7630472
MW

Professional summary

Maxwell C Wallace is a registered financial advisor currently at DOVER ADVISORS, LLC located in Richmond, Virginia.

Maxwell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Maxwell has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Maxwell C Wallace'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

April 25, 2023 - Present

DOVER ADVISORS, LLC

RIA
CRD#: 320832
Richmond, VA

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".
DA
DOVER ADVISORS, LLC
DOVER ADVISORS, LLC | LTB WEALTH, LLC

CRD#: 320832 / SEC#: 801-124840

RIA
Registered Investment Advisory firm - (5/2/2022 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
Virginia
(4/25/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/25/2023
Uniform Investment Adviser Law Examination

Current Firm

DA
DOVER ADVISORS, LLC
DOVER ADVISORS, LLC | LTB WEALTH, LLC

CRD#: 320832 / SEC#: 801-124840

RIA
Registered Investment Advisory firm - (5/2/2022 Approved)
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Contact information

Main Address
Richmond, VA
Mailing Address
Phone number
(804) 750-3665
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DOVER ADVISORS DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (2/12/2025)

Regulatory assets under management

Total Number of Accounts308
AUM (Assets Under Management)$ 332,550,000

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

DOVER ADVISORS, LLC

CRD#: 320832Richmond, VA

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