Maxwell Clay Winter

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-01-07
WA	RA	APPROVED	2018-11-20

TX RA
APPROVED

Since 2019-01-07
WA RA
APPROVED

Since 2018-11-20

Branch Locations

Woodinville, WA • 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
Era Helicopters Llc	Juneau	AK	04/2017	09/2017
Dex Usa	Bellingham	WA	10/2016	10/2016
Western Washington University	Bellingham	WA	09/2012	12/2017
Ameriprise Financial Services, Inc.	Woodinville	WA	02/2018	03/2020
Ameriprise Financial Services, Llc	Woodinville	WA	03/2020	Present

04/2017 → 09/2017

Era Helicopters Llc

Juneau, AK
10/2016 → 10/2016

Dex Usa

Bellingham, WA
09/2012 → 12/2017

Western Washington University

Bellingham, WA
02/2018 → 03/2020

Ameriprise Financial Services, Inc.

Woodinville, WA
03/2020 → Present

Ameriprise Financial Services, Llc

Woodinville, WA

Other Businesses

Outside Employment; Winter Tax Advisor; Tax Prep; Tax Preparation; 23710 NE 170th St, , Woodinville, WA, 98077; Not Investment-Related; 12/01/2024; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-10-23

S66 Uniform Combined State Law Examination

2018-10-23

Other Names

Max Winter

View on SEC IAPD