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Robert Maxson
BOB MAXSON, ROBERT N MAXSON, ROBERT NEIL MAXSON, ROBERT MAXSON
CRD#: 1789178
IA
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COPPELL ADVISORY SOLUTIONS LLCCRD#: 156549 123 N. Main St.
belmont, NC 28012
belmont, NC 28012
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8/26/2002
Customer Dispute
Denied
3/18/2001
Customer Dispute
Denied
State Registrations
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North Carolina 10/13/2024
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Registered with this firm since 10/13/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/05/2018 - 07/29/2024 | CHARLOTTE, NC | |
B | 12/04/2018 - 07/29/2024 | CHARLOTTE, NC | |
IA | 04/08/2016 - 12/03/2018 | Charlotte, NC | |
IA | 04/07/2016 - 12/03/2018 | CHARLOTTE, NC | |
B | 02/26/2016 - 12/03/2018 | CHARLOTTE, NC | |
B | 07/28/2014 - 03/03/2016 | CHARLOTTE, NC | |
IA | 11/29/2012 - 08/06/2014 | CHARLOTTE, NC | |
B | 11/20/2012 - 08/06/2014 | CHARLOTTE, NC | |
B | 11/14/2011 - 10/17/2012 | CHARLOTTE, NC | |
B | 01/18/2010 - 04/27/2011 | MCLEAN, VA | |
B | 10/06/2009 - 11/17/2009 | CHARLOTTE, NC | |
B | 11/04/2008 - 08/14/2009 | GARFIELD HEIGHTS, OH | |
B | 06/24/2008 - 10/31/2008 | CLEVELAND, OH | |
B | 08/18/2006 - 04/02/2007 | FORT WAYNE, IN | |
IA | 05/13/1999 - 08/29/2005 | BEACHWOOD, OH | |
B | 01/04/1994 - 08/29/2005 | PURCHASE, NY | |
B | 04/20/1988 - 01/12/1994 | NEW YORK, NY | |
B | 04/20/1988 - 06/03/1988 |
CHARLOTTE, NC
12/05/2018 - 07/29/2024
CHARLOTTE, NC
12/04/2018 - 07/29/2024
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.