Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maxwell? Claim Your ProfileMaxwell Carter Boales is a registered representative with Morgan Stanley in Ormond Beach, FL. Maxwell has been in the industry for 49 years. He has held previous positions with MORGAN STANLEY & CO. INCORPORATED, UBS FINANCIAL SERVICES INC., PRUDENTIAL SECURITIES INCORPORATED, and THOMSON MCKINNON SECURITIES INC. Maxwell holds Series 1, 5, 7TO, 8, 63, and 65 licenses. Maxwell is also a Board of Director member at Serenity House of Volusia.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
12/08/2010 - Present
Morgan Stanley (ORMOND BEACH FL)
FL
11/14/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ORMOND BEACH FL)
FL
11/13/1995 - 11/24/2008
UBS FINANCIAL SERVICES INC. (DAYTONA BEACH FL)
NY
09/15/1989 - 11/21/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
10/16/1973 - 09/15/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
IA
Issued 04/08/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/01/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/20/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/1988
Series 5 - Interest Rate Options Examination
BC
Issued 09/07/1977
PC - AMEX Put and Call Exam
BC
Issued 10/11/1973
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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