Max Mathew Roy
Investment Adviser Representative at Charles Schwab & Co., Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Max Mathew Roy is an investment adviser representative with Charles Schwab & Co., Inc. in Elmwood Park, NJ, where they have been registered since 2023. They have worked in the securities industry since 2022 and were previously registered with UBS Financial Services Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in New Jersey.
Registrations & licenses
- Investment adviser:
- New Jersey
- Broker:
1 state or territory
New Jersey
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- CitibankFeb 2020 – Jul 2021Paramus, NJ
- Bergen Community CollegeJun 2016 – Jul 2020Paramus, NJ
- M&T BankJul 2021 – Mar 2022Waldwick, NJ
- UBS Financial Services, Inc.Mar 2022 – Mar 2023Warren, NJ
- Club Z TutoringSep 2018 – Feb 2020Glen Rock, NJ
- Charles Schwab Bank, SSBMar 2023 – no end date reportedElmwood Park, NJ
- Charles Schwab & Co., Inc.Mar 2023 – no end date reportedElmwood Park, NJ
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Charles Schwab & Co., Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
- Firm account minimum
- $500,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Max Mathew Roy has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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