Charles Wayne Maxim

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2025-02-24
OH	RA	APPROVED	2001-03-29

AZ RA
APPROVED

Since 2025-02-24
OH RA
APPROVED

Since 2001-03-29

Branch Locations

Tucson, AZ • United States

8565 S Mason Montgomery Rd #31, Mason, OH 45040 • 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

Organization	City	State	From	To
Lpl Financial Llc (Formerly: Linsco / Private Ledger Corp.)	Mason	OH	03/2001	Present

03/2001 → Present

Lpl Financial Llc (Formerly: Linsco / Private Ledger Corp.)

Mason, OH

Other Businesses

1. 12/28/2004 - SHARED VISION ADVISORS- Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 2/2/2011 - NO BUSINESS NAME - Investment Related - Tax Prep/Accounting/CPA - TIME SPENT 1% - PREPARATION OF TAX RETURNS. 3. 7/2/2014 - ROBIN A MAXIM LLC - Not Investment Related - Home Based - Other-STATUTORY AGENT - START DATE: 05/23/2012 - 1 Hour Per Month/0 Hours During Securities Trading - ASSIST WITH ACCOUNTING AND COMMUNICATIONS WITH PAYROLL PROVIDER FOR LLC PROCESSING 2 PAYROLLS PER YEAR. PREPARE TAX RETURN FOR LLC. 4. 8/29/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non Variable Insurance Trails Only - Started 08/12/2019 - 1 Hour Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-02-03

S63 Uniform Securities Agent State Law Examination

1994-02-03

Designations

View on SEC IAPD