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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maxwell? Claim Your ProfileMaxwell D Bardeen Jr. is a financial advisor with UBS Financial Services Inc., a firm with over $50 billion in assets under management. Maxwell has been registered with FINRA since 1976, holding a variety of licenses and certifications, including Series 7, Series 8, Series 9, Series 10, and Series 63. Maxwell has also been a Registered Investment Advisor since 1995. He is currently registered to provide investment advisory services in 52 states and the District of Columbia. Maxwell has a long and successful history in the financial services industry and has been a key member of the UBS team since 1995.
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
NY
04/20/2009 - Present
Ubs Financial Services INC. (Rochester NY)
NY
08/27/1976 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
09/01/1976 - 05/19/1978
KIDDER, PEABODY & CO., INCORPORATED
IA
Issued 5/31/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/13/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/1/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/15/1977
PC - AMEX Put and Call Exam
BC
Issued 8/21/1976
Series 7 - General Securities Representative 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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