Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Max? Claim Your ProfileMax Kimball is a financial advisor who has been in the industry since 2007. Max is currently registered with Sofi Wealth LLC. Max is also registered with FINRA, the Securities Investor Protection Corporation (SIPC), and the state of Utah. Max has a Series 6, Series 7, Series 9, Series 63, and Series 65 license, as well as the SIE exam. Max's specializations include financial planning, portfolio management for individuals, educational seminars, and publication of periodicals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
A percentage of the total value of assets under management is charged.
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2
CA
06/27/2019 - Present
Sofi Wealth LLC (SAN FRANCISCO CA)
UT
01/23/2014 - 10/02/2017
MORGAN STANLEY (SOUTH JORDAN UT)
UT
03/17/2011 - 11/12/2013
WELLS FARGO ADVISORS, LLC (SALT LAKE CITY UT)
UT
07/10/2008 - 05/25/2010
E*TRADE SECURITIES LLC (SANDY UT)
UT
01/01/2008 - 07/15/2008
FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)
UT
05/21/2007 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SALT LAKE CITY UT)
IA
Issued 09/26/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/25/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/02/2017
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/2008
Series 7 - General Securities Representative Examination
BC
Issued 05/18/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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