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CFP
NM
CFP

Nicholas Max

Edward Jones
27 Years of Experience
St. Louis, MO
Broker
View SEC Summary
View SEC Summary

Nicholas Max is a CFP-designated registered investment advisor at Edward Jones, based in St. Louis, MO, with 27 years of industry experience. Nicholas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 4,069,320 clients with $1000B in assets under management.

Edward Jones
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
24113 advisors
Number of Clients
4,069,320 clients
Average Client Portfolio
$249K average
Assets Under Management
$1013.6B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.40%

The fee schedule consists of a Program Fee (up to 1.35%) and a Platform Fee (up to 0.05%), totaling a maximum annual rate of 1.40%. Fees are negotiable and may be lower based on account size or pricing groups.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

12555 Manchester Road, St. Louis, MO, 63131

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Edward JonesBroker
May 2025 - Present · 1 yr 5 mos
Edward Jones
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Vanguard Advisers, INC.
March 2022 - October 2024 · 2 yrs 7 mos
Vanguard Marketing CorporationBroker
March 2022 - October 2024 · 2 yrs 7 mos
Gwfs Equities, INC.Broker
January 2020 - March 2022 · 2 yrs 2 mos
Advised Assets Group, LLC
January 2020 - March 2022 · 2 yrs 2 mos
Charles Schwab & CO., INC.Broker
April 2016 - January 2019 · 2 yrs 9 mos
Schwab Private Client Investment Advisory, INC.
April 2016 - January 2019 · 2 yrs 9 mos
Tiaa-Cref Advice and Planning Services
October 2012 - November 2015 · 3 yrs 1 mo
Tiaa-Cref Individual & Institutional Services, LLCBroker
September 2012 - November 2015 · 3 yrs 2 mos
PNC InvestmentsBroker
April 2011 - August 2012 · 1 yr 4 mos
Nylife Securities LLCBroker
December 2010 - March 2011 · 3 mos
TD Ameritrade, INC.
July 2007 - February 2008 · 7 mos
TD Ameritrade, INC.Broker
July 2007 - February 2008 · 7 mos
Hewitt Financial Services LLCBroker
April 2003 - December 2006 · 3 yrs 8 mos
Hewitt Financial Services LLC
April 2003 - December 2006 · 3 yrs 8 mos
Banc One Securities Corporation
April 2002 - August 2002 · 4 mos
Banc One Securities CorporationBroker
April 2002 - August 2002 · 4 mos
Charles Schwab & CO., INC.Broker
December 1995 - December 2001 · 6 yrs
Lasalle St Securities, L.L.C.Broker
March 1995 - October 1995 · 7 mos
Everen Securities, INC.Broker
September 1993 - July 1994 · 10 mos
John Nuveen & CO., IncorporatedBroker
August 1991 - August 1993 · 2 yrs
State Registrations3 states
MONCTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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