Maxwell Investment Advisory and Wealth Management LLC
License or Case Number: CRD # 311133
Date of Initial Action: 09/08/22
Defendants/Respondents: Maxwell Investment Advisory and Wealth Management LLC
Documents:
- 09/08/22 – Order to Discontinue Violations (PDF)
- 09/08/22 – Statement in Support of Order to Discontinue Violations (PDF)
- 11/07/22 – Summary Suspension Order (PDF)
- 12/19/22 – Revocation Order (PDF)
About the Licensee status
To check the status of this licensee, visit the Investment Adviser Public Disclosure website by entering the licensee name or CRD number.
If you have further questions or need more assistance, please call our Customer Service Office at: 1-866-275-2677.