Thank you for your interest in The Virtual Financial Service of Max Ule, Vice President, Shields & Company. Below, you will find a brief overview of Max Ule's services and background. If you are interested in more information by email, fill out the linked Form. If you would like to fill-out an on-line application form to become a valued client, try "Open Account" below. To find out how this site works, use "Help" below. Thanks.
The story begins in the early 1970's when independently in four or five cities, a group of brokerage entrepreneurs came to the same conclusion; namely, that not all investors needed a full service broker since many of them made their own investment decisions and needed no service other than straight executions.
At this time, a group of firms that came to be known as third market brokers started offering institutions and the competive rate brokers a way to trade the most active NYSE stock away from the floor of the NYSE and their fixed commission schedule as well. At this time negotiated rate brokers could only offer savings on these third market traded issues as well as any over the counter stocks.
In 1975, this type of business got a substantial boost when May 1 brought about the abolition of fixed commission rates so that every stock transaction could be negotiated and even member firms could and did offer negotiated rates.
Max Ule made his start in a brokerage firm as the first Sales/Marketing Manager for Source Equities which is now a part of Fidelity Brokerage Services. After running a New York office for Daley, Coolidge & Company, a Cleveland based firm where he was also a director and major stockholder, he ran a division at Rosenkrantz, Ehrenkrantz, Lyon & Ross and subsequently at Ingham, Becker & Company Inc. After serving as Vice-President of Meyers, Pollock, Robbins Inc., and the "Max Ule Division" of Herzog Heine Geduld, Inc., he joined Shields & Company where he is Vice President-Investments. He is a graduate of Harvard College and the Harvard Graduate School of Business Administration. During the Vietnam war, he served as supply officer of the USS George K. MacKenzie(DD-836) which was homeported in Yokusuka, Japan.
Max's outside interests are in world travel where he and his wife Angela try to take at least two overseas trips a year. He is very interested in 35mm still photography, particularly portrait photography. In addition, he is an active practitioner of the ancient sport of Court-Tennis, which was what Henry the VIII was playing when he was informed that Anne Boleyn was beheaded.
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Photography, by Max Ule.
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