Phillip Maxwell

PROBITY ADVISORS

Dallas, TX 75231

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CRD#: 7672550

Professional summary

Phillip Maxwell, who also goes by Phillip Elliott Maxwell, is a registered financial advisor currently at PROBITY ADVISORS, INC. located in Dallas, Texas.

Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Phillip has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phillip Elliott Maxwell

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 Phillip Maxwell'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

February 5, 2024 - Present

PROBITY ADVISORS, INC.

Office #1: 10000 N. Central Expressway Suite 1326, Dallas, TX 75231

RIA

CRD#: 121849

Dallas, TX

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".

PROBITY ADVISORS, INC.

NESTING EASY | PROBITY ADVISORS, INC.

CRD#: 121849 / SEC#: 801-61430

RIA

Registered Investment Advisory firm - (10/3/2002 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

Texas
(2/5/2024)

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 65

Date: 2/5/2024

Uniform Investment Adviser Law Examination

Current Firm

PROBITY ADVISORS, INC.

NESTING EASY | PROBITY ADVISORS, INC.

CRD#: 121849 / SEC#: 801-61430

RIA

Registered Investment Advisory firm - (10/3/2002 Approved)

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Contact information

Main Address

10000 N. Central Expressway Suite 1326, Dallas, TX 75231

Mailing Address

Phone number

(214) 891-8131

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV-03.25.2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,111
AUM (Assets Under Management)	$ 731,792,868

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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Phillip Maxwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PROBITY ADVISORS, INC.

Primary Firm SEC Registration

PROBITY ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/5/2024

Current Firm

PROBITY ADVISORS, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROBITY ADVISORS, INC.

TRUST BUT VERIFY

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