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Maximilian Stone

Executive Committee Member at D. E. Shaw & Co.

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
7
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Maximilian Stone is Executive Committee Member of D. E. Shaw & Co., L.P., a New York investment adviser managing $213B. Maximilian Stone has a current broker registration and no current investment-adviser registration and has passed 7 licensing exams.

Role at D. E. Shaw & Co.

Title on Schedule A
Executive Committee Member
Control
Maximilian Stone is a control person of D. E. Shaw & Co.
Ownership
An individual ownership band is not available in the source record.
Tenure
Maximilian Stone has held the filed role since January 2005.

The firm

D. E. Shaw & Co., L.P.
New York, NY

Form ADV filed 14 August 2026

$213B AUM23 clients526 advisers5 offices

Career on record

Firms and exams, newest first
  1. Passed Series 57TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 55 · 2000
  4. Passed Series 24 · 1995
  5. Passed Series 7, Series 63 and Series 4 · 1993

Registrations and exams

Broker registration; no current adviser registration. Maximilian Stone has passed 7 qualifying exams.

Examinations

Series 6326 February 1993
Name
Uniform Securities Agent State Law Examination
Series 2416 June 1995
Name
General Securities Principal Examination
Series 47 October 1993
Name
Registered Options Principal Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 556 July 2000
Name
Limited Representative-Equity Trader Exam
Series 717 February 1993
Name
General Securities Representative Examination

Individual record

Full name
Maximilian Dana Stone
CRD
2246217
Firm
D. E. Shaw & Co., L.P.
Registration status
Broker registration; no current adviser registration
Firm bio
deshaw.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

The D. E. Shaw Group identifies Max Stone as a managing director and Executive Committee member. He joined the firm in 1992 and graduated from Brown University with a degree in psychology. Official firm biography

Common questions

Where does Maximilian Stone work?

Maximilian Stone has been Executive Committee Member of D. E. Shaw & Co., L.P. since January 2005, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 August 2026

Does Maximilian Stone have a current investment-adviser registration?

Maximilian Stone has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Maximilian Stone passed?

Maximilian Stone has passed 7 licensing exams: the Series 7, Series 63, Series 4, Series 24, Series 55, SIE and Series 57TO. The earliest, the Series 7, was passed in February 1993.

Source: IAPD individual record, checked 17 October 2026

Leadership at D. E. Shaw & Co.

Sources

  1. IAPD individual record, CRD 2246217. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of D. E. Shaw & Co., L.P., filed 14 August 2026. Title, control and ownership bands.
  3. D. E. Shaw & Co. team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Maximilian Stone or D. E. Shaw & Co., L.P. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.