Maxwell Carlos has been an investment adviser representative at Laurel Wealth Planning since February 2023, and is not listed among the firm’s executive officers or direct owners. Maxwell Carlos studied at the University of Minnesota-Duluth.
Laurel Wealth Planning LLC is an Edina, MN firm with $454M under management, 177 clients and 6 advisers in one office, as of its May 2026 filing.
Max Carlos is Investment Associate / Associate Wealth Manager of Laurel Wealth Planning. He joined the firm in 2023 after 2.5 years as a paraplanner at another firm. He analyzes markets, makes trades in client accounts and communicates portfolio shifts.
Maxwell Carlos’ longest registration is the current one, 3 years at Laurel Wealth Planning since 2023. Before joining Laurel Wealth Planning in 2023, Maxwell Carlos was registered through FFP Wealth Management, LLC.
- Laurel Wealth PlanningCurrent– present · 3 yearsEdina, MN · Adviser representative · Firm CRD 122035
- FFP Wealth Management, LLC– · 1 yearCoon Rapids, MN · Adviser representative · Firm CRD 300253
Professional designations
Listed by Laurel Wealth Planning
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Maxwell Carlos is registered as an investment adviser representative in Minnesota, since February 2023.
- MinnesotaSince 28 February 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 28 October 2021 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Maxwell Lee Carlos
- CRD
- 7099822
- Firm
- Laurel Wealth Planning · CRD 122035
- Office
- 3300 EDINBOROUGH WAY, SUITE 790, Edina, MN 55435
- Registration
- Investment adviser registration
- In the industry since
- February 2022
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- laurelwealthplanning.com
Where does Maxwell Carlos work?
Maxwell Carlos is an investment adviser representative registered through Laurel Wealth Planning LLC since February 2023, and is not listed among the firm’s executive officers or direct owners.
Is Maxwell Carlos a financial advisor?
Yes. Maxwell Carlos has a current investment-adviser registration in Minnesota, through Laurel Wealth Planning since February 2023.
How many years of experience does Maxwell Carlos have?
Maxwell Carlos has 4 years in the financial industry, since February 2022, across 2 adviser firms.
What exams has Maxwell Carlos passed?
Maxwell Carlos passed the Series 65 in October 2021.
Where did Maxwell Carlos work before Laurel Wealth Planning?
Before Laurel Wealth Planning, Maxwell Carlos was registered through FFP Wealth Management, LLC, February 2022 to February 2023.
Where is Maxwell Carlos based?
Maxwell Carlos’ registered office is in Edina, MN.
Is Maxwell Carlos registered with FINRA?
No. Maxwell Carlos has no current broker registration.
Is Maxwell Carlos a CFP?
Laurel Wealth Planning lists Maxwell Carlos with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Max Carlos, CFP® biography, laurelwealthplanning.com
How can I verify Maxwell Carlos’ record?
Search CRD 7099822 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Maxwell Carlos’ full registration record.