Nicholas L Max

CRD 1993265 · Edward Jones · Dallas, TX

IA RegisteredBroker

Also appears in the source record as: Nicholas L Max III; Nick Max III; Nick Max; Nicholas Lawrence Max III; Nicholas Lawrence Max; Nicholas Max

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 6Series 4Series 63Series 66
Registered states (3): Missouri · North Carolina · Texas
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Edward Jones
Firm CRD: 250
SEC number: 801-3297
Assets under management: $1.0T as of Jun 29, 2026
Website: www.twitter.com/EDWARDJONES ↗
Phone: 314-515-2000
Firm location: St. Louis, MO, 63131

Employment history (21)

From the source registration record · current first

Edward JonesCurrent
Dallas, TX · IA capacity

start not retrieved → present
Edward JonesCurrent
Dallas, TX · BC capacity

start not retrieved → present
Vanguard Advisers, Inc.
Charlotte, NC · IA capacity

Mar 17, 2022 → Oct 31, 2024
Vanguard Marketing Corporation
Charlotte, NC · BC capacity

Mar 16, 2022 → Oct 31, 2024
Gwfs Equities, Inc.
Greenwood Village, CO · BC capacity

Jan 3, 2020 → Mar 9, 2022
Advised Assets Group, LLC
St. Charles, IL · IA capacity

Jan 2, 2020 → Mar 9, 2022
Charles Schwab & Co., Inc.
Indianapolis, IN · BC capacity

Apr 27, 2016 → Jan 28, 2019
Schwab Private Client Investment Advisory, Inc.
Indianapolis, IN · IA capacity

Apr 26, 2016 → Jan 28, 2019
Tiaa-Cref Advice And Planning Services
Wheaton, IL · IA capacity

Oct 10, 2012 → Nov 10, 2015
Tiaa-Cref Individual & Institutional Services, LLC
Wheaton, IL · BC capacity

Sep 6, 2012 → Nov 10, 2015
Pnc Investments
Elgin, IL · BC capacity

Apr 25, 2011 → Aug 9, 2012
Nylife Securities LLC
Schaumburg, IL · BC capacity

Dec 1, 2010 → Mar 18, 2011
Td Ameritrade, Inc.
Chicago, IL · IA capacity

Jul 26, 2007 → Feb 28, 2008
Td Ameritrade, Inc.
Chicago, IL · BC capacity

Jul 26, 2007 → Feb 28, 2008
Hewitt Financial Services LLC
Lincolnshire, IL · BC capacity

Apr 7, 2003 → Dec 18, 2006
Hewitt Financial Services LLC
Lincolnshire, IL · IA capacity

Apr 1, 2003 → Dec 18, 2006
Banc One Securities Corporation
Palatine, IL · IA capacity

Apr 18, 2002 → Aug 30, 2002
Banc One Securities Corporation
Chicago, IL · BC capacity

Apr 18, 2002 → Aug 30, 2002
Lasalle St Securities, L.L.C.
Elmhurst, IL · BC capacity

Mar 28, 1995 → Oct 2, 1995
Everen Securities, Inc.
St. Louis, MO · BC capacity

Sep 16, 1993 → Jul 8, 1994
John Nuveen & Co., Incorporated
Chicago, IL · BC capacity

Aug 26, 1991 → Aug 20, 1993

Source & corrections

Where this page comes from

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