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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-09-11
TX RA APPROVED 2023-09-11
  • NC RA
    APPROVED
    Since 2023-09-11
  • TX RA
    APPROVED
    Since 2023-09-11

Branch Locations

Charlotte, NC • United States

116 Morlake Drive, Ste 102, Mooresville, NC 28117 • 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
The Vanguard Group, Inc Charlotte NC 05/2022 08/2023
Cascio & Sons Construction Madison Heights VA 01/2020 12/2020
Self Employed Lynchburg VA 01/2021 05/2022
Genworth Financial Lynchburg VA 06/2017 07/2019
Self Employed Lynchburg VA 07/2019 11/2019
Wasabi Japanese Steak House And Sushi Bar Lynchburg VA 02/2017 09/2017
Liberty University Lynchburg VA 01/2015 05/2017
Fontane Foundation Inc. Non-Profit Lynchberg VA 09/2020 08/2023
Lpl Financial Llc Fort Mill SC 08/2023 Present
  • 05/2022 → 08/2023
    The Vanguard Group, Inc
    Charlotte, NC
  • 01/2020 → 12/2020
    Cascio & Sons Construction
    Madison Heights, VA
  • 01/2021 → 05/2022
    Self Employed
    Lynchburg, VA
  • 06/2017 → 07/2019
    Genworth Financial
    Lynchburg, VA
  • 07/2019 → 11/2019
    Self Employed
    Lynchburg, VA
  • 02/2017 → 09/2017
    Wasabi Japanese Steak House And Sushi Bar
    Lynchburg, VA
  • 01/2015 → 05/2017
    Liberty University
    Lynchburg, VA
  • 09/2020 → 08/2023
    Fontane Foundation Inc. Non-Profit
    Lynchberg, VA
  • 08/2023 → Present
    Fort Mill, SC
Other Businesses

1) 8/17/2023- RHBTH LLC- Real Estate Rental- property owner- Inv. Related- Lynchburg, VA- start date 8/2021- 3hrs/mth 2) 02/27/2025 - DFS Advisors, LLC - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date 02/01/2025 - 160 Hrs/Mth - 160 Hrs During Trading. 3) 01/31/2026 - Rehoboth Wealth Management LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/01/2026 - 160 hours per month/ during trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-06-15
S65 Uniform Investment Adviser Law Examination 2022-03-21
  • S63 Uniform Securities Agent State Law Examination
    2022-06-15
  • S65 Uniform Investment Adviser Law Examination
    2022-03-21
Other Names
  • Max Fontaine
  • Maxwell Fontaine
  • Maxwell Luke Fontaine

View on SEC IAPD

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