Nicholas Max, financial advisor Indianapolis IN
96 score

Nicholas Max

CRD Number: 1993265
Current Firm: Schwab Private Client Investment Advisory, Inc.

Nicholas Max (CRD# 1993265) is an Investment Advisor Representative working at Schwab Private Client Investment Advisory, Inc. in Indianapolis, IN and has over 16 years of experience in the finance industry. Nicholas Max has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Charles Schwab & Company, Inc. Indianapolis, IN Apr 2016 - Current 1
Schwab Private Client Investment Advisory, Inc. Indianapolis, IN Apr 2016 - Current 1
Unemployed Schaumburg, IL Nov 2015 - Apr 2016 < 1
Tiaa-cref Individual & Institutional Services, LLC Wheaton, IL Aug 2012 - Nov 2015 3
Tiaa Wheaton, IL Aug 2012 - Nov 2015 3
Pnc Investments Elgin, IL Apr 2011 - Aug 2012 1
Nylife Securities LLC Schaumburg, IL Oct 2010 - Mar 2011 < 1
New York Life Insurance Schaumburg, IL Sep 2010 - Mar 2011 < 1
Unemployed South Elgin, IL Sep 2009 - Aug 2010 < 1
National City Corp Highland Park, IL Mar 2008 - Sep 2009 1
Unemployed South Elgin, IL Feb 2008 - Mar 2008 < 1
Td Ameritrade, Inc. Chicago, IL Jun 2007 - Feb 2008 < 1
Unemployed South Elgin, IL Jan 2007 - Jun 2007 < 1
Hewitt Associates LLC Lincolnshire, IL Feb 2003 - Dec 2006 3
Hewitt Financial Services LLC Lincolnshire, IL Feb 2003 - Dec 2006 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 2011
S66 NASAA Uniform Combined State Law Examination Jan 2001
Contact Info for Nicholas L. Max
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • IN
By the Numbers
  • Total Assets Under Management
    67,823
    MILLIONS
  • Total Number of Accounts
    155,246
    ACCOUNTS
  • Average Account Value
    $436,876
Compensation Options
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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