Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Max is a financial advisor with Vanguard Marketing Corp. Nicholas has over 20 years of experience in the financial services industry. Nicholas holds the Series 6, 7, 63, and 66 securities licenses and is a Registered Options Principal. Nicholas also holds a Series 4 license. Nicholas's previous employers include GWFS Equities, Inc., Charles Schwab & Co., Inc., TIAA-CREF Individual & Institutional Services, LLC, PNC Investments, NYLIFE Securities LLC, TD Ameritrade, Inc., Hewitt Financial Services LLC, BANC ONE SECURITIES CORPORATION, LaSalle St Securities, L.L.C., and John Nuveen & Co., Incorporated.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
NC
03/16/2022 - Present
Vanguard Marketing Corp. (CHARLOTTE NC)
CO
01/03/2020 - 03/09/2022
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
IN
04/27/2016 - 01/28/2019
CHARLES SCHWAB & CO., INC. (Indianapolis IN)
IL
09/06/2012 - 11/10/2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (WHEATON IL)
IL
04/25/2011 - 08/09/2012
PNC INVESTMENTS (ELGIN IL)
IL
12/01/2010 - 03/18/2011
NYLIFE SECURITIES LLC (SCHAUMBURG IL)
IL
07/26/2007 - 02/28/2008
TD AMERITRADE, INC. (CHICAGO IL)
IL
04/07/2003 - 12/18/2006
HEWITT FINANCIAL SERVICES LLC (LINCOLNSHIRE IL)
IL
04/18/2002 - 08/30/2002
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
TX
12/21/1995 - 12/17/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IL
03/28/1995 - 10/02/1995
LASALLE ST SECURITIES, L.L.C. (ELMHURST IL)
MO
09/16/1993 - 07/08/1994
EVEREN SECURITIES, INC. (ST. LOUIS MO)
IL
08/26/1991 - 08/20/1993
JOHN NUVEEN & CO., INCORPORATED (CHICAGO IL)
BC
Issued 07/29/2011
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 01/10/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/31/2005
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/1992
Series 7 - General Securities Representative Examination
BC
Issued 08/22/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Nicholas Max is the right advisor for you? Invested Better is here to help.
