Max StokaCRD Number: 4438645
Current Firm: Ubs Financial Services Inc.
Max Stoka (CRD# 4438645) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Milwaukee, WI and has over 15 years of experience in the finance industry.
Financial Service Group Inc.
Fortress Planning Group
|Ubs Financial Services Inc.||Milwaukee, WI||Mar 2016 - Current||2|
|Wells Fargo Advisors LLC||Milwaukee, WI||May 2009 - Mar 2016||6|
|Wachovia Securities, LLC||Waukesha, WI||Aug 2008 - May 2009||< 1|
|Morgan Stanley & Company, Incorporated||Wauwatosa, WI||Apr 2007 - Aug 2008||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jan 2003|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
Total Assets Under Management391,710MILLIONS
Total Number of Accounts885,967ACCOUNTS
Average Account Value$442,127
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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