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Detailed Report
JAMES MAXWELL MARKLEY
MAX MARKLEY
CRD#: 6347616
IA
Investment Adviser
B
Broker
STEPHENSCRD#: 3496 200/300 CRESCENT COURT
DALLAS, TX 75201
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2019 - Present (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2015 - 2019 (3 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2016 - 2019 (3 years)
License(s)

State Registrations

B
Arkansas 7/1/2019
B
Nebraska 7/1/2019
B
California 7/1/2019
B
Nevada 7/1/2019
B
Colorado 7/1/2019
B
New Jersey 4/5/2021
B
District of Columbia 7/1/2019
B
New Mexico 7/1/2019
B
Florida 7/1/2019
B
New York 7/1/2019
B
Georgia 7/1/2019
B
North Carolina 7/1/2019
B
Illinois 7/1/2019
B
Oklahoma 7/1/2019
B
Louisiana 7/1/2019
B
Pennsylvania 7/1/2019
B
Maine 7/1/2019
B
Tennessee 7/1/2019
B
Maryland 7/1/2019
B
Texas 7/1/2019
B
Massachusetts 7/1/2019
IA
Texas 7/1/2019
B
Michigan 7/1/2019
B
Vermont 7/1/2019
B
Missouri 7/1/2019
B
Washington 7/1/2019
B
Montana 7/1/2019
B
Wisconsin 7/1/2019

SRO Registrations

B
 FINRA
B
 Investors' Exchange LLC
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STEPHENS (CRD#:3496)
200/300 CRESCENT COURT, DALLAS, TX 75201
Registered with this firm since 7/1/2019
B
STEPHENS (CRD#:3496)
200/300 CRESCENT COURT, DALLAS, TX 75201
Registered with this firm since 7/1/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/15/2016 - 06/28/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
B
 11/11/2015 - 06/28/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.