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Joseph Paul Maxwell

BA Securities, LLC

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About Joseph Paul Maxwell

Joseph Paul Maxwell is a financial professional with over 20 years of experience in the industry. Joseph is currently registered with Ba Securities, LLC, and is located in West Conshohocken, PA. Prior to joining Ba Securities, Joseph held positions at Johnson Rice & Company L.L.C., Fortis Securities LLC, Calyon Securities (USA) Inc., ABN AMRO Incorporated, and ING Barings LLC. Joseph has a wide range of experience in the financial services industry, and is committed to providing clients with personalized service and guidance.

Firm Information

Joseph Maxwell is currently registered with BA Securities, LLC. BA Securities, LLC is a Limited Liability Company formed on January 25, 2010. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

215

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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Joseph Maxwell’s Registration & Firm History

PA

10/14/2021 - Present

BA Securities, LLC (W. CONSHOHOCKEN PA)

LA

04/13/2009 - 08/11/2021

JOHNSON RICE & COMPANY L.L.C. (NEW ORLEANS LA)

NY

10/07/2005 - 04/06/2009

FORTIS SECURITIES LLC (NEW YORK NY)

NY

01/10/2003 - 08/23/2005

CALYON SECURITIES (USA) INC (NEW YORK NY)

CT

04/30/2001 - 05/29/2001

ABN AMRO INCORPORATED (STAMFORD CT)

NY

01/16/2001 - 04/30/2001

ING BARINGS LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/01/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/28/2013

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/12/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joseph Paul Maxwell.
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