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Nicholas L Max

Edward Jones

St. Louis, MO

Dallas, TX

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Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-05
MO RA APPROVED 2026-02-23
NC RA APPROVED 2025-05-27
  • TX RA
    APPROVED
    Since 2026-03-05
  • MO RA
    APPROVED
    Since 2026-02-23
  • NC RA
    APPROVED
    Since 2025-05-27

Branch Locations

12555 Manchester Road, St. Louis, MO 63131 • United States

300 Crescent Court Suite 1150, Dallas, TX 75201 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co Inc Indianapolis IN 04/2016 01/2019
Gwfs Equities Inc (Empower Retirement) Greenwood Village CO 12/2019 03/2022
Unemployed Carmel IN 02/2019 11/2019
The Vanguard Group Inc Charlotte NC 03/2022 10/2024
Edward Jones St Louis MO 05/2025 Present
Unemployed Charlotte NC 11/2024 04/2025
  • 04/2016 → 01/2019
    Charles Schwab & Co Inc
    Indianapolis, IN
  • 12/2019 → 03/2022
    Gwfs Equities Inc (Empower Retirement)
    Greenwood Village, CO
  • 02/2019 → 11/2019
    Unemployed
    Carmel, IN
  • 03/2022 → 10/2024
    The Vanguard Group Inc
    Charlotte, NC
  • 05/2025 → Present
    Edward Jones
    St Louis, MO
  • 11/2024 → 04/2025
    Unemployed
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-07-29
S66 Uniform Combined State Law Examination 2001-01-10
  • S63 Uniform Securities Agent State Law Examination
    2011-07-29
  • S66 Uniform Combined State Law Examination
    2001-01-10
Designations
Other Names
  • Nick Max
  • Nicholas Max
  • Nicholas Lawrence Max
  • Nicholas Lawrence Max
  • Nicholas Lawrence Max
  • Nicholas Lawrence Max
  • Nick Max
  • Nicholas L Max Iii
  • Nicholas L Max
  • Nicholas L Max

View on SEC IAPD

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