MAXWELL NOLL INC
Legal name: MAXWELL NOLL INVESTMENT ADVISORS
CRD #6918 SEC #801-116960 PASADENA, CA 626-796-7133
SEC Registered
Total AUM
$103.4M
Discretionary
$103.4M
Employees
3
Clients
0
Accounts
122
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 14, 2019
- 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 |
|---|---|---|---|---|
| NOLL, MICHAEL BECKER | I | VICE PRESIDENT | NA | |
| NOLL, MICHAEL BECKER | I | VICE PRESIDENT | NA | |
| SACCENTE, CHRISTINE ELIZABETH | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | VICE PRESIDENT, CCO | NA | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | Control |
| SACCENTE, CHRISTINE, ELIZABETH | I | CCO | NA | |
| SACCENTE, CHRISTINE, ELIZABETH | I | CCO | NA | |
| SANFORD DAVID WHITING II | I | DIRECTOR | NA | |
| SANFORD DAVID WHITING II | I | DIRECTOR | NA | |
| STONNINGTON GROUP, LLC | DE | SHAREHOLDER | E | |
| STONNINGTON GROUP, LLC | DE | SHAREHOLDER | E | |
| BARBARA L. MAXWELL | I | DIRECTOR | C | |
| BARBARA L. MAXWELL | I | DIRECTOR | C | |
| BARBARA L. MAXWELL | I | DIRECTOR | C | |
| MAXWELL, JOHN TERRY | I | DIRECTOR | C | Control |
| MAXWELL, JOHN TERRY | I | DIRECTOR | C | Control |
| NOLL, HOWARD EUGENE | I | CEO, CFO, COO | C | Control |
| NOLL, HOWARD EUGENE | I | CEO, CFO, COO | C | Control |
| NOLL, HOWARD EUGENE | I | CEO, CFO, COO | C | Control |
| NOLL, HOWARD EUGENE | I | CEO, CFO, COO | C | Control |
| NOLL, HOWARD EUGENE | I | CEO, CFO, COO | C | Control |
| NOLL, HOWARD EUGENE | I | PRESIDENT, CEO, CFO, COO | C | Control |
| NOLL, HOWARD EUGENE | I | PRESIDENT, CEO, CFO, COO | C | Control |
| NOLL, HOWARD EUGENE | I | CEO, CFO, COO | C | Control |
| NOLL, HOWARD EUGENE | I | CEO, CFO, COO | C | Control |
| STONNINGTON GROUP LLC | DE | AUTHORIZED UNISSUED SHARES (171) | C | Control |
| STONNINGTON GROUP LLC | DE | AUTHORIZED UNISSUED SHARES (171) | C | Control |
| WHITING, SANFORD DAVIS | I | DIRECTOR | C | Control |
| WHITING, SANFORD DAVIS | I | SHAREHOLDER | C | Control |
| WHITING, SANFORD DAVIS | I | DIRECTOR | C | Control |
| WHITING, SANFORD DAVIS | I | SHAREHOLDER | C | Control |
| WHITING, SANFORD DAVIS | I | DIRECTOR | C | Control |
| WHITING, SANFORD DAVIS | I | DIRECTOR | C | Control |
| WHITING, SANFORD DAVIS | I | DIRECTOR | C | Control |
| WHITING, SANFORD DAVIS | I | DIRECTOR | C | Control |
| ARTHUR, PAUL GREGORY | I | PRESIDENT | B | Control |
| ARTHUR, PAUL GREGORY | I | PRESIDENT | B | Control |
| ARTHUR, PAUL GREGORY | I | PRESIDENT | B | Control |
| ARTHUR, PAUL GREGORY | I | PRESIDENT | B | Control |
| ARTHUR, PAUL GREGORY | I | PRESIDENT | B | Control |
| ARTHUR, PAUL GREGORY | I | VICE PRESIDENT | B | Control |
| ARTHUR, PAUL GREGORY | I | VICE PRESIDENT | B | Control |
| ARTHUR, PAUL GREGORY | I | VICE PRESIDENT | B | Control |
| ARTHUR, PAUL GREGORY | I | VICE PRESIDENT | B | Control |
| KITCHEN, LYNN ELIZABETH | I | SHAREHOLDER | B | Control |
| KITCHEN, LYNN ELIZABETH | I | SHAREHOLDER | B | Control |
| KITCHEN, LYNN ELIZABETH | I | SHAREHOLDER | B | Control |
| KITCHEN, LYNN ELIZABETH | I | SHAREHOLDER | B | Control |
| KITCHEN, LYNN ELIZABETH | I | DIRECTOR | B | Control |
| KITCHEN, LYNN ELIZABETH | I | DIRECTOR | B | Control |
| KITCHEN, LYNN ELIZABETH | I | DIRECTOR | B | Control |
| KITCHEN, LYNN ELIZABETH | I | DIRECTOR | B | Control |
| KITCHEN, LYNN ELIZABETH | I | SHAREHOLDER | B | Control |
| KITCHEN, LYNN ELIZABETH | I | DIRECTOR | B | Control |
| KITCHEN, LYNN ELIZABETH | I | VICE PRESIDENT, CCO | B | Control |
| KITCHEN, LYNN ELIZABETH | I | VICE PRESIDENT, CCO | B | Control |
| KITCHEN, LYNN ELIZABETH | I | PRESIDENT, CCO | B | Control |
| KITCHEN, LYNN ELIZABETH | I | PRESIDENT, CCO | B | Control |
| KITCHEN, LYNN ELIZABETH | I | DIRECTOR | B | Control |
| KITCHEN, LYNN ELIZABETH | I | DIRECTOR | B | Control |
| KITCHEN, LYNN ELIZABETH | I | DIRECTOR | B | Control |
| KITCHEN, LYNN ELIZABETH | I | DIRECTOR | B | Control |
| KITCHEN, LYNN ELIZABETH | I | DIRECTOR | B | Control |
| NOLL, HOWARD EUGENE | I | CHAIRMAN | B | Control |
| NOLL, HOWARD EUGENE | I | CHAIRMAN | B | Control |
| NOLL, HOWARD EUGENE | I | CHAIRMAN | B | Control |
| NOLL, HOWARD EUGENE | I | CHAIRMAN | B | Control |
| NOLL, HOWARD EUGENE | I | CHAIRMAN | B | Control |
| NOLL, HOWARD EUGENE | I | CHAIRMAN | B | Control |
| NOLL, HOWARD EUGENE | I | CHAIRMAN | B | Control |
| NOLL, HOWARD EUGENE | I | CHAIRMAN | B | Control |
| NOLL, HOWARD EUGENE | I | CHAIRMAN | B | Control |
| NOLL, HOWARD EUGENE | I | CHAIRMAN | B | Control |
| NOLL, MICHAEL BECKER | I | PRESIDENT, CEO, CFO, DIRECTOR | B | Control |
| NOLL, MICHAEL BECKER | I | PRESIDENT, CEO, CFO, DIRECTOR | B | Control |
| NOLL, MICHAEL BECKER | I | PRESIDENT, CEO, CFO, DIRECTOR | B | Control |
| NOLL, MICHAEL BECKER | I | PRESIDENT, CEO, CFO, DIRECTOR | B | Control |
| NOLL, MICHAEL BECKER | I | PRESIDENT, CEO, CFO, DIRECTOR | B | Control |
| NOLL, MICHAEL BECKER | I | PRESIDENT, CEO, CFO, DIRECTOR | B | Control |
| NOLL, MICHAEL BECKER | I | PRESIDENT, CEO, CFO, DIRECTOR | B | Control |
| NOLL, MICHAEL BECKER | I | PRESIDENT, CEO, CFO, DIRECTOR | B | Control |
| NOLL, MICHAEL BECKER | I | PRESIDENT, CEO, CFO, DIRECTOR | B | Control |
| NOLL, MICHAEL BECKER | I | PRESIDENT, CEO, CFO, DIRECTOR | B | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR | B | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR | B | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR | B | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR | B | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR | B | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR | B | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR | B | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR | B | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR | B | Control |
| SACCENTE, CHRISTINE ELIZABETH | I | SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER, DIRECTOR | B | Control |
| NOLL, MICHAEL BECKER | I | VICE PRESIDENT, SECRETARY, DIRECTOR | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| STONNINGTON, NICHOLAS, HENRY H | I | STONNINGTON GROUP LLC | E | Control |
| STONNINGTON, NICHOLAS, HENRY H | I | STONNINGTON GROUP LLC | E | Control |
Registrations
Federal
IA
Jun 14, 2019 REGISTERED
Notice Filings (6)
AZ CA CO FL HI TX
Address
600 SOUTH LAKE AVENUESUITE 502
PASADENA, CA 91106-3908
United States
Phone: 626-796-7133