Burton J. Bloch
Professional summary
Burton Jay Bloch, who also goes by Burt Bloch, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Burton is registered as a RR (Registered Representative) and started their career in finance in 1984. Burton has worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Burton Jay Bloch's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2002 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022January 31, 2001 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
August 10, 1998 - January 31, 2001
HERZOG, HEINE, GEDULD, LLC
September 3, 1991 - August 13, 1998
GRUNTAL & CO., L.L.C.
January 22, 1990 - September 3, 1991
JJC SECURITIES CO., INC.
January 2, 1990 - January 27, 1990
HANIFEN, IMHOFF SECURITIES CORP.
November 4, 1989 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
February 2, 1989 - January 30, 1990
J. T. MORAN & CO., INC.
September 15, 1987 - February 6, 1989
MORGAN STANLEY DW INC.
March 13, 1984 - September 24, 1987
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
January 25, 1984 - March 14, 1984
M V SECURITIES, INC. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/23/2002)
(1/3/2022)
(12/14/2023)
(7/8/2025)
(10/23/2002)
(10/23/2002)
(10/23/2002)
(4/25/2016)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current 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 |
| 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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Check for any disclosures as part of your thorough research when choosing an advisor.
