Maxwell Dennis Havens
Investment adviser representative at LPL Financial LLC
14 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
14 years in the industry.
- Esl Investment Services, LLCDec 2023 to now
- LPL Financial LLCJun 2023 to now
- Esl Federal Credit UnionNov 2021 to Jul 2026
- UnemployedSep 2021 to Nov 2021
- Branch's Driving SchoolJul 2020 to Aug 2021
- Suny AlbanyAug 2016 to May 2020
- Robbie T's PizzaAug 2012 to Mar 2020
Exams passed
- Series 63 · Uniform Securities Agent State Law2023
- Series 66 · Uniform Combined State Law2025
State registrations
Registered as an investment adviser representative in 1 state (NY).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7768745
- Firm CRD
- 6413