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SAMUEL CHAPMAN MAXWELL III
SAM MAXWELL, SAMUEL CHAPMAN III MAXWELL
CRD#: 2136258
IA
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BORDEAUX WEALTH ADVISORSCRD#: 287758 5110 Carillon Point
Kirkland, WA 98033
Kirkland, WA 98033
0
Disclosures
33
Years of Experience
View By:
State Registrations
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Washington 5/1/2024
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Registered with this firm since 5/1/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/10/2017 - 06/18/2024 | KIRKLAND, WA | |
IA | 06/01/2009 - 04/11/2017 | SEATTLE, WA | |
B | 06/01/2009 - 04/11/2017 | SEATTLE, WA | |
IA | 01/14/2008 - 06/01/2009 | SEATTLE, WA | |
B | 01/14/2008 - 06/01/2009 | SEATTLE, WA | |
IA | 07/16/1996 - 01/17/2008 | SEATTLE, WA | |
B | 03/02/1998 - 01/17/2008 | SEATTLE, WA | |
B | 05/08/1996 - 03/02/1998 | ||
B | 05/09/1991 - 05/06/1996 | NEW YORK, NY |
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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.