Max McComb has been Chief Compliance Officer of Arkadios Wealth Advisors since October 2024, is a control person of the firm and directly owns under 5% of it.
Arkadios Wealth Advisors LLC is an Atlanta, GA firm with $8.79B under management, 14,886 clients and 151 advisers across 105 offices, as of its October 2026 filing.
M. Michael McComb is Chief Compliance Officer of Arkadios Wealth. He leads the compliance program for the RIA and provides compliance and business support to Arkadios' advisors. With over three decades of experience, he has held compliance roles at retail, institutional and independent broker/dealers and RIA firms, including ING, Barclays and UBS.
No adviser firm registrations are on Max McComb’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 10 December 2024 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 7 August 2015 |
| Series 7 | General Securities Representative Examination | 16 June 2015 |
| Series 4 | Registered Options Principal Examination | 9 May 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 March 1995 |
- Name
- Operations Professional Examination
- Name
- Compliance Officer Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Max Michael McComb
- CRD
- 1347500
- Firm
- Arkadios Wealth Advisors · CRD 288863
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- arkadios.com
Where does Max McComb work?
Max McComb has been Chief Compliance Officer of Arkadios Wealth Advisors LLC since October 2024, and is a control person of the firm.
Does Max McComb have a current investment-adviser registration?
Max McComb has a current broker registration and no current investment-adviser registration.
What exams has Max McComb passed?
Max McComb has passed 6 licensing exams: the Series 63, Series 4, Series 7, Series 24, Series 14 and Series 99TO. The earliest, the Series 63, was passed in March 1995. FINRA credited Max McComb with the SIE, which began in October 2018.
Is Max McComb registered with FINRA?
Yes. Max McComb has a current broker registration, under CRD 1347500.
Source: FINRA BrokerCheck
How can I verify Max McComb’s record?
Search CRD 1347500 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Max McComb’s full registration record.
