Maxwell Moritz has held the title Member at The Wellington GRP since August 2024, is a control person of the firm and directly owns between 5% and 10% of it. Maxwell Moritz holds a B.S. in Financial Counseling and Planning from Purdue University.
The Wellington GRP LLC is an Indianapolis, IN firm with $474M under management, 1,516 clients and 9 advisers across 2 offices, as of its March 2026 filing.
Max Moritz is Founder and Partner of The Wellington Group, based in Indianapolis. He is responsible for coordinated financial planning and investment guidance for individuals and families with complex financial needs. Moritz joined the firm in January 2015 and became a Partner in 2023, and has contributed to the development of its planning capabilities and investment platform.
Maxwell Moritz’s longest registration was 7 years at Park Avenue Securities LLC (2015–2023). Before joining The Wellington GRP in 2024, Maxwell Moritz was registered through Wellington Wealth Strategies, LLC and Park Avenue Securities LLC.
- The Wellington GRP LLCCurrent– present · 2 yearsIndianapolis, IN · Adviser representative · Firm CRD 332803
- Wellington Wealth Strategies, LLC– · 2 yearsIndianapolis, IN · Adviser representative · Firm CRD 306298
- Park Avenue Securities LLC– · 7 yearsIndianapolis, IN · Adviser representative · Firm CRD 46173
Professional designations
Listed by The Wellington GRP
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Maxwell Moritz is registered as an investment adviser representative in Indiana, since October 2024.
- IndianaSince 17 October 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 19 October 2015 |
| Series 7 | General Securities Representative Examination | 15 June 2015 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Maxwell T Moritz
- CRD
- 6440839
- Firm
- The Wellington GRP · CRD 332803
- Role
- Member
- Office
- 9000 KEYSTONE CROSSING, SUITE 400, Indianapolis, IN 46240
- Registration
- Investment adviser registration
- In the industry since
- June 2015
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- thewellingtongroupllc.com
Where does Maxwell Moritz work?
Maxwell Moritz has held the title Member at The Wellington GRP LLC since August 2024, and is a control person of the firm.
Is Maxwell Moritz a financial advisor?
Yes. Maxwell Moritz has a current investment-adviser registration in Indiana, through The Wellington GRP since October 2024.
How many years of experience does Maxwell Moritz have?
Maxwell Moritz has 11 years in the financial industry, since June 2015, across 3 adviser firms.
What exams has Maxwell Moritz passed?
Maxwell Moritz has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in June 2015. FINRA credited Maxwell Moritz with the SIE, which began in October 2018.
Where did Maxwell Moritz work before The Wellington GRP?
Before The Wellington GRP, Maxwell Moritz was registered through Park Avenue Securities LLC, December 2015 to September 2023.
Where is Maxwell Moritz based?
Maxwell Moritz’s registered office is in Indianapolis, IN.
Is Maxwell Moritz registered with FINRA?
No. Maxwell Moritz has no current broker registration.
Is Maxwell Moritz a CFP?
The Wellington GRP lists Maxwell Moritz with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Maxwell Moritz’s record?
Search CRD 6440839 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Maxwell Moritz’s full registration record.
