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James John Maxwell

Fidelity Brokerage Services LLC

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About James John Maxwell

James Maxwell has been in the financial services industry since March 13, 2016 and currently is a registered representative with Fidelity Brokerage Services LLC. James holds the Series 7, 6, 63, 65, and SIE licenses. James has been registered with the Securities and Exchange Commission (SEC) since May 31, 2019 and holds registrations in 53 states and District of Columbia. James' prior employers include Calton & Associates, Inc., Prudential Securities Incorporated and MetLife Securities Inc.

Firm Information

James Maxwell is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

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.

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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James Maxwell’s Registration & Firm History

FL

05/31/2019 - Present

Fidelity Brokerage Services LLC (JACKSONVILLE FL)

FL

04/18/1996 - 07/09/1996

CALTON & ASSOCIATES, INC. (TAMPA FL)

NY

12/08/1994 - 04/19/1996

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

MA

04/16/1993 - 11/29/1994

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

04/16/1993 - 11/29/1994

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/07/2019

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 02/27/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/31/2019

Series 7TO - General Securities Representative Examination

BC

Issued 05/02/2019

SIE - Securities Industry Essentials Examination

BC

Issued 01/24/1995

Series 7 - General Securities Representative Examination

BC

Issued 04/15/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for James John Maxwell.
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