Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Jonathan Max is a financial advisor registered with Wells Fargo Clearing Services, LLC. Robert has been in the financial services industry since August 1992, and holds Series 7, 9, 10, 31, 63, and 65 licenses. Robert is registered to offer securities in 34 states. Prior to joining Wells Fargo Clearing Services, LLC, Robert was employed at Raymond James & Associates, Inc. Robert also has experience at Morgan Stanley and UBS Financial Services Inc.. Robert is a registered investment advisor in Illinois and California.
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.
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.
Investment consulting services to institutional clients
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.
1
2
IL
03/24/2022 - Present
Wells Fargo Clearing Services, LLC (NAPERVILLE IL)
IL
06/02/2014 - 07/26/2017
RAYMOND JAMES & ASSOCIATES, INC. (Oakbrook Terrace IL)
OR
05/06/2010 - 06/03/2014
MORGAN STANLEY (PORTLAND OR)
CA
02/11/2008 - 08/17/2009
UBS FINANCIAL SERVICES INC. (SAN DIEGO CA)
CA
12/12/1991 - 02/12/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BREA CA)
IA
Issued 08/03/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/11/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/08/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/21/2022
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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