Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Max? Claim Your ProfileMax Romo Flores is a financial advisor with Charles Schwab & CO., Inc., a large firm with over 919,000 clients. Max has been in the industry for over 10 years, with experience at other firms including Transamerica Investors Securities Corporation and GWFS Equities, Inc. Max is registered in 53 states and holds various licenses, including Series 6, 7, 9, 10, 63, and 66, in addition to the SIE. Max offers financial planning and other services.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CO
08/14/2020 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
CO
11/06/2019 - 06/22/2020
TRANSAMERICA INVESTORS SECURITIES CORPORATION (DENVER CO)
CO
08/05/2014 - 05/24/2018
CHARLES SCHWAB & CO., INC. (Lone Tree CO)
CO
11/12/2010 - 02/24/2011
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
CO
09/09/2008 - 04/08/2009
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CENTENNIAL CO)
BOTH
Issued 02/17/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/18/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/02/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/16/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/24/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/2014
Series 7 - General Securities Representative Examination
BC
Issued 09/08/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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