Dario J. Rossi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dario Jude Rossi, who also goes by Dario J Rossi, was a registered financial professional .
Dario is a previously registered financial professional and started their career in finance in 1983. Dario had worked at 14 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2025 - April 6, 2026
MAXIM GROUP LLC
October 26, 2023 - February 6, 2025
SAMUEL A. RAMIREZ & COMPANY, INC.
June 29, 2020 - September 26, 2023
FHN FINANCIAL SECURITIES CORP.
June 6, 2019 - July 31, 2020
CANACCORD GENUITY LLC
August 7, 2018 - June 13, 2019
WILLIAM BLAIR
October 1, 2008 - April 23, 2018
J.P. MORGAN SECURITIES LLC
July 25, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
January 22, 1997 - July 25, 2008
J.P. MORGAN SECURITIES LLC
January 4, 1996 - October 21, 1996
TUCKER ANTHONY INCORPORATED
April 18, 1995 - October 16, 1995
COWEN AND COMPANY
March 1, 1994 - December 30, 1994
BHF SECURITIES CORPORATION
July 18, 1989 - February 9, 1994
SCHRODER & CO. INC.
July 2, 1987 - July 25, 1989
THOMSON MCKINNON SECURITIES INC.
July 18, 1983 - June 5, 1986
MORGAN STANLEY DW INC.
April 19, 1983 - July 11, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
