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MN

Maxwell Nerone

Some features on this profile are disabled
CRD#: 7643982
MN

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Maxwell Nerone, who also goes by Maxwell Mitchell Nerone, was a registered financial professional .

Maxwell is a previously registered financial professional and started their career in finance in 2022. Maxwell had worked at 3 firms and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maxwell Mitchell Nerone

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 12, 2024 - March 31, 2025

GLOBAL SHARES FINANCIAL SERVICES INC.

BD
CRD#: 284031
Columbus, OH
Past

October 25, 2024 - May 1, 2026

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Columbus, OH
Past

November 11, 2022 - September 17, 2024

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
COLUMBUS, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/29/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 11/11/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/21/2022
Securities Industry Essentials Examination

Current Firm

GS
GLOBAL SHARES FINANCIAL SERVICES INC.
GLOBAL SHARES FINANCIAL SERVICES INC.

CRD#: 284031 / SEC#: , 8-69780

BD
Terminated by SEC on 06/25/2025
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/02/2016
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
JPMORGAN CHASE HOLDINGS LLCSHAREHOLDER
MACHULSKI, MICHAEL RPRINCIPAL FINANCIAL OFFICER4726972
NUSSBAUM, ANDREW CHARLESCHIEF COMPLIANCE OFFICER4496350

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

GLOBAL SHARES FINANCIAL SERVICES INC.

CRD#: 284031

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