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MP

Maxwell E. Peterson

PREP SECURITIES
Park City, UT 84098
Some features on this profile are disabled
CRD#: 7993101
MP

Professional summary

Maxwell Edward Peterson, who also goes by Max Peterson, Maxwell Peterson, is a registered financial professional currently at PREP SECURITIES, LLC located in Park City, Utah.

Maxwell is registered as a RR (Registered Representative) and started their career in finance in 2025. Maxwell has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Max Peterson | Maxwell Peterson

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) - BD

Click below to view Maxwell Edward Peterson'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

August 4, 2025 - Present

PREP SECURITIES, LLC

Office #1: 2750 Rasmussen Road Suite 202, Park City, UT 84098
BD
CRD#: 188522
Park City, UT
Past

February 4, 2025 - July 21, 2025

MIT ASSOCIATES, LLC

BD
CRD#: 121171
Aliso Viejo, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Utah
(8/4/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/4/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/13/2024
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/8/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PREP SECURITIES, LLC
PREP SECURITIES, LLC

CRD#: 188522 / SEC#: , 8-69611

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
2750 Rasmussen Road Suite 202, Park City, UT 84098
Mailing Address
2750 Rasmussen Road Suite 202, Park City, UT 84098
Phone number
(844) 877-4153
Established
Delaware since 12/08/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PREP SECURITIES HOLDINGS LLCSOLE MEMBER
BRENNAN, TIMOTHY JAMESMANAGING DIRECTOR6477325
HULL, KEVIN KITTCEO, CCO, FINOP, PFO, POO2104329

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

PREP SECURITIES, LLC

CRD#: 188522Park City, UT 84098

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