Individual Firm
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MAX STOKA
MAX STOKA MR, MAXIMILIANO STOKA
CRD#: 4438645
IA
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UBS FINANCIAL SERVICES INC.CRD#: 8174 17335 Golf Parkway
Suite 525
Brookfield, WI 53045
Suite 525
Brookfield, WI 53045
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9/11/2003
Employment Separation After Allegations
State Registrations
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Arizona 3/4/2016
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Nebraska 3/4/2016
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California 3/2/2023
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Nevada 3/4/2016
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Colorado 12/4/2017
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New York 9/12/2020
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Connecticut 3/4/2016
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Pennsylvania 11/4/2022
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Florida 3/9/2016
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Pennsylvania 12/21/2022
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Florida 7/27/2021
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Puerto Rico 2/20/2025
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Georgia 7/23/2021
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Tennessee 3/4/2016
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Illinois 3/4/2016
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Texas 3/4/2016
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Indiana 3/4/2016
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Texas 3/4/2016
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Michigan 3/4/2016
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Wisconsin 3/4/2016
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Minnesota 3/4/2016
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Wisconsin 7/20/2021
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 3/4/2016
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Registered with this firm since 3/4/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/28/2008 - 03/07/2016 | MILWAUKEE, WI | |
B | 08/28/2008 - 03/07/2016 | MILWAUKEE, WI | |
IA | 04/02/2007 - 09/03/2008 | WAUWATOSA, WI | |
B | 04/02/2007 - 09/03/2008 | WAUWATOSA, WI | |
IA | 09/19/2006 - 04/02/2007 | WAUWATOSA, WI | |
B | 12/03/2003 - 04/02/2007 | WAUWATOSA, WI | |
IA | 01/28/2003 - 10/10/2003 | MENOMONEE FALLS, WI | |
B | 01/16/2003 - 10/10/2003 | MENOMONEE FALLS, WI |
MENOMONEE FALLS, WI
01/28/2003 - 10/10/2003
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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.