Maximilian Fricker
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.
Maximilian Fricker, who also goes by Max Fricker, was a registered financial professional .
Maximilian is a previously registered financial professional and started their career in finance in 2024. Maximilian had worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2024 - August 29, 2025
AGENTIS CAPITAL MARKETS US, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 9/23/2024
Investment Banking Registered Representative ExaminationCurrent Firm
AGENTIS CAPITAL MARKETS US, LLC
CRD#: 328336 / SEC#: , 8-71174
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AGENTIS CAPITAL LTD. | SHAREHOLDER | |
| FOSTER, LEE | CHIEF OPERATING OFFICER AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 7814929 |
| GRIEVE, ANDREW WILLIAM | SHAREHOLDER | 7817429 |
| MARCOTTE, BRIAN TROY | CHIEF COMPLIANCE OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 1182101 |
| VAN BELLE, ROBERT | PARTNER, DIRECTOR, CHIEF EXECUTIVE OFFICER, AND EXECUTIVE REPRESENTATIVE | 7814930 |
Red Flags
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