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Adam Ian Wachtel

Maxim Financial Advisors LLC

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About Adam Ian Wachtel

Adam Wachtel is a financial advisor with over 23 years of experience in the industry. Adam is currently registered with Maxim Financial Advisors LLC. Adam has previously worked with Wachovia Securities, LLC, Citigroup Global Markets Inc., and Prudential Securities Incorporated. Adam is licensed to provide investment advice in New Jersey and New York. Adam has a strong track record of providing financial advice to individuals and corporations. Adam focuses on providing investment advice, financial planning, and portfolio management for individuals and businesses.

Firm Information

Adam Wachtel is currently registered with Maxim Financial Advisors LLC. Maxim Financial Advisors LLC is an investment advisor registered with the SEC and located in NEW YORK, NY. They have 41 investment adviser representatives and manage approximately $371,163,779 in assets for 754 clients. The firm provides portfolio management services for individuals, businesses and pension plans. They also offer selection of other advisors services and participate in wrap fee programs.
Maxim Financial Advisors LLC

300 PARK AVE

NEW YORK, NY 10022

$371.16M

Assets Under Management

Not reported

Total Clients

36

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Adam Wachtel’s Registration & Firm History

NY

07/29/2021 - Present

Maxim Financial Advisors LLC (NEW YORK NY)

NY

03/27/2008 - 11/19/2008

WACHOVIA SECURITIES, LLC (NEW YORK NY)

NY

10/26/2005 - 04/04/2008

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

MO

07/01/2003 - 10/25/2005

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

08/21/2000 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 02/12/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/09/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/19/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Adam Ian Wachtel.
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