Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Max? Claim Your ProfileMax Waller Montgomery is a financial advisor registered with UBS Financial Services Inc. Max has over 2 years of experience in the industry. Max's office is located in Chicago, Illinois at 1 NORTH WACKER DRIVE, 32ND & 33RD. Max can be reached at 201-352-3000. Max has successfully passed the Uniform Combined State Law Examination, the General Securities Representative Examination, and the Securities Industry Essentials Examination. Max is registered in 53 states and the District of Columbia. Max specializes in providing financial planning, portfolio management for individuals and businesses, and pension consulting. Max also provides educational seminars and publishes periodicals. UBS Financial Services Inc. is an investment advisor with more than $50 billion in assets under management. The firm has over 9,000 employees and has a physical address at 1200 HARBOR BOULEVARD in Weehawken, NJ.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
IL
05/23/2024 - Present
UBS Financial Services Inc. (CHICAGO IL)
BOTH
Issued 05/23/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/21/2022
Series 7TO - General Securities Representative Examination
BC
Issued 05/12/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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