MAXWELL WEALTH STRATEGIES INC.
Legal name: MAXWELL WEALTH
CRD #317081 SEC #801-122641 PLEASANTON, CA 925-523-3288
SEC Registered
Total AUM
$290M
Discretionary
$290M
Employees
5
Clients
251
Accounts
660
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 19, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
| MAXWELL, JAMES, ERIC | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Feb 19, 2025 REGISTERED
Notice Filings (5)
CA NY OR TX UT
Address
7041 KOLL CENTER PARKWAYSUITE 275
PLEASANTON, CA 94566
United States
Phone: 925-523-3288