Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Max? Claim Your ProfileMax Alan Hockenberry is a financial advisor with over 35 years of experience in the financial services industry. Max is currently registered with Osaic Wealth, Inc. and has been with the firm since 2018. Prior to joining Osaic Wealth, Inc., Max worked at Signator Investors, Inc. and John Hancock Mutual Life Insurance Company. Max holds a Series 7, Series 6, Series 63 and Series 65 licenses and is a Certified Financial Planner and a Chartered Financial Consultant. Max works with a wide range of clients, including high-net-worth individuals, corporations, and charitable organizations. Max's areas of expertise include financial planning, investment management, and retirement planning. Max is committed to providing his clients with personalized financial advice and guidance.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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NC
06/21/2019 - Present
Osaic Wealth, Inc. (CHARLOTTE NC)
NC
07/09/1986 - 11/02/2018
SIGNATOR INVESTORS, INC. (CHARLOTTE NC)
MA
07/09/1986 - 05/01/1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
IA
Issued 11/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/08/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/1998
Series 7 - General Securities Representative Examination
BC
Issued 07/08/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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