Unclaimed Profile

James Eric Maxwell

MAXWELL WEALTH STRATEGIES INC.·PLEASANTON, California

SIE, Series 7, Series 9, Series 10, Series 63, Series 65Clean record28 years registeredMAXWELL WEALTH STRATEGIES INC.

7041 KOLL CENTER PARKWAY, PLEASANTON, CA 94566CRD# 1510156Firm CRD# 317081

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Eric Maxwell · PLEASANTON, CA

Registration

CRD #1510156 · MAXWELL WEALTH STRATEGIES INC. · 28 years registered

Brand Profile

Not yet started

Career History

CREATIVE PLANNING

Feb 2025 – present

MAXWELL WEALTH

Nov 2021 – May 2025

PLEASANTON, CA

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

May 2015 – Dec 2021

PLEASANTON, CA

MORGAN STANLEY

Jun 2009 – May 2015

Pleasanton, CA

MORGAN STANLEY & CO. INCORPORATED

Jun 2007 – Jun 2009

PLEASANTON, CA

BANC OF AMERICA INVESTMENT SERVICES, INC.

May 1998 – Jun 2007

PLEASANTON, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 63

Series 65

Registration record

First registered · May 12, 1998

Years registered · 28

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

MAXWELL WEALTH STRATEGIES INC.

CRD 317081 · SEC 801-122641

AUM

$290M

Regulatory assets under management

Employees

604 client accounts

Services offered by MAXWELL WEALTH STRATEGIES INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at MAXWELL WEALTH STRATEGIES INC. →

Introduction

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Frequently Asked Questions

What services does James Eric Maxwell offer?

James Eric Maxwell specializes in Financial Planning, Investment Management. Contact their office in PLEASANTON, California for a consultation.

What are James Eric Maxwell's credentials?

James Eric Maxwell is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Eric Maxwell located?

James Eric Maxwell is based in PLEASANTON, California, working with MAXWELL WEALTH STRATEGIES INC.. Their office serves clients in the PLEASANTON metropolitan area and surrounding communities.

How does James Eric Maxwell charge for services?

James Eric Maxwell's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is MAXWELL WEALTH STRATEGIES INC.?

MAXWELL WEALTH STRATEGIES INC. has approximately 5 employees and manages $290M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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