Andrew Kravitz
Professional summary
Andrew Kravitz is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1983. Andrew has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Kravitz'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 10022April 30, 2002 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
November 7, 2001 - May 14, 2002
DPEC CAPITAL, INC.
October 22, 1999 - November 15, 2001
JOSEPHTHAL & CO., INC.
August 31, 1998 - October 25, 1999
FAS WEALTH MANAGEMENT SERVICES, INC.
December 15, 1997 - August 31, 1998
BILTMORE SECURITIES, INC.
October 11, 1994 - September 18, 1996
NOYES PARTNERS INCORPORATED
January 22, 1990 - October 29, 1993
CITIGROUP GLOBAL MARKETS INC.
February 2, 1987 - January 24, 1990
J.P. MORGAN SECURITIES LLC
July 15, 1986 - February 7, 1987
PHOENIX SECURITIES GROUP,INC.
January 3, 1986 - April 15, 1986
MILLBROOK INVESTOR SECURITIES, INC.
December 1, 1983 - February 28, 1985
UNIVERSAL SECURITIES OF AMERICA, 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)
(4/7/2009)
(8/14/2008)
(10/25/2002)
(1/23/2023)
(7/12/2024)
(12/3/2024)
(10/23/2002)
(3/31/2009)
(10/30/2008)
(5/27/2014)
(1/27/2012)
(10/23/2002)
(10/23/2002)
(10/23/2002)
(3/4/2009)
(2/4/2010)
Exams
FINRA
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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