Glenn Maxey has been Director & Senior Portfolio Manager of David Vaughan Investments since March 2024, is a control person of the firm and directly owns under 5% of it. Glenn Maxey holds a B.B.A. in Finance from Southern Methodist University.
David Vaughan Investments, LLC is a Peoria, IL firm with $5.33B under management, 1,240 clients and 48 advisers across 2 offices, as of its July 2026 filing.
Glenn Maxey is Chief of Staff & Senior Portfolio Manager of David Vaughan Investments. He joined the firm in 2017 after building a foundation in investment banking, with a focus on mergers and acquisitions in the oil and gas industry. He was named a Partner in 2024.
- – present · 8 yearsPeoria, IL · Adviser representative · Firm CRD 105990
Professional designations
Listed by David Vaughan Investments
- CFA
Investment adviser representative registrations
Glenn Maxey is registered as an investment adviser representative in 2 states. The first approvals date from November 2017; the most recent is Texas, in July 2026.
- IllinoisSince 16 November 2017
- TexasSince 20 July 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 16 November 2017 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 27 July 2015 |
| Series 79 | Investment Banking Registered Representative Examination | 23 July 2015 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Banking Registered Representative Examination
- Full name
- Glenn James Maxey
- CRD
- 6513462
- Firm
- David Vaughan Investments · CRD 105990
- Role
- Director & Senior Portfolio Manager
- Office
- 5823 N FOREST PARK DRIVE, Peoria, IL 61614-3559
- Registration
- Investment adviser registration
- In the industry since
- November 2015
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- dviinc.com
Where does Glenn Maxey work?
Glenn Maxey has been Director & Senior Portfolio Manager of David Vaughan Investments, LLC since March 2024, and is a control person of the firm.
Is Glenn Maxey a financial advisor?
Yes. Glenn Maxey has a current investment-adviser registration in Illinois and Texas, through David Vaughan Investments since November 2017.
How many years of experience does Glenn Maxey have?
Glenn Maxey has 10 years in the financial industry, since November 2015, across 1 adviser firm.
What exams has Glenn Maxey passed?
Glenn Maxey has passed 3 licensing exams: the Series 79, Series 63 and Series 65. The earliest, the Series 79, was passed in July 2015. FINRA credited Glenn Maxey with the SIE, which began in October 2018.
Where is Glenn Maxey based?
Glenn Maxey’s registered office is in Peoria, IL.
Is Glenn Maxey registered with FINRA?
No. Glenn Maxey has no current broker registration.
Is Glenn Maxey a CFA charterholder?
David Vaughan Investments lists Glenn Maxey with the CFA credential (“CFA”) on its website. CFA Institute confirms certification status.
How can I verify Glenn Maxey’s record?
Search CRD 6513462 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Glenn Maxey’s full registration record.
Brian ChristensenElected Manager & SR Vice President & Chief Investment Officer
Stephen HinrichsSenior Vice President of Investment Research
Michael PriceChief Compliance Officer, Vice President of Risk Management & Corporate Secretary- Elizabeth SalmonVice President of Operations
Todd SheridanVice President
Patrick SmarjesseSenior Vice President of Relationship Management
Lawrence Williams IVElected Manager, Chairman, President & CEO
Alfredo RisiChief Operating Officer- Darrin AutryElected Manager
- Michael DewaltElected Manager
Erin DuvallChief People Officer- Andrew HoneggerElected Manager
Jeffrey HuizengaDirector of Wealth Strategies- John McClureElected Manager
Stephanie RickettsSenior Relationship Manager & Director of Client Services- Kevin SchoepleinElected Manager
- Christopher SpearsElected Manager
- David Vaughan JRElected Manager
Mitchell ZippayDirector & Senior Accounting Manager