Dario J. Rossi

MAXIM GROUP LLC

New York, NY 10022

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CRD#: 1113740

Professional summary

Dario Jude Rossi, who also goes by Dario J Rossi, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.

Dario is registered as a RR (Registered Representative) and started their career in finance in 1983. Dario has worked at 14 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dario J Rossi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dario Jude Rossi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 8, 2025 - Present

MAXIM GROUP LLC

Office #1: 300 Park Ave 16th Floor, New York, NY 10022

CRD#: 829

NEW YORK, NY

Past

July 18, 1983 - June 5, 1986

MORGAN STANLEY DW INC.

CRD#: 7556

Past

April 19, 1983 - July 11, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(7/8/2025)

Exams

State Security Law Exam

Series 63

Date: 10/31/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/1994

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

MAXIM GROUP LLC

M-VEST (A WHOLLY OWNED DIVISION OF MAXIM GROUP) | MAXIM MERCHANT CAPITAL (A WHOLLY OWNED DIVISION OF MAXIM GROUP | MAXIM GROUP LLC

CRD#: 120708 / SEC#: , 8-65337

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

300 Park Ave 16th Floor, New York, NY 10022

Mailing Address

300 Park Ave 16th Floor, New York, NY 10022

Phone number

(212) 895-3500

Established

New York since 04/11/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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
MESSINGER, MICHAEL SPENCER	MSP	1403506
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

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Dario J. Rossi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dario Jude Rossi's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAMUEL A. RAMIREZ & COMPANY, INC.

FHN FINANCIAL SECURITIES CORP.

CANACCORD GENUITY LLC

WILLIAM BLAIR

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES LLC

TUCKER ANTHONY INCORPORATED

COWEN AND COMPANY

BHF SECURITIES CORPORATION

SCHRODER & CO. INC.

THOMSON MCKINNON SECURITIES INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 10/31/1989

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1983

Series 24

Date: 10/12/1994

FINRA

Nasdaq Stock Market

Current Firm

MAXIM GROUP LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MAXIM GROUP LLC

TRUST BUT VERIFY

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