John T. Maxwell
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.
John Thomas Maxwell JR, who also goes by John Thomas Maxwell, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 8 firms and has passed the Series 63, 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 7, 2009 - June 3, 2013
JEFFERIES HIGH YIELD TRADING, LLC
May 18, 2009 - December 11, 2015
JEFFERIES LLC
June 30, 2003 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 19, 2000 - June 5, 2003
BNP PARIBAS SECURITIES CORP.
June 15, 2000 - July 20, 2000
BNP PARIBAS INVESTMENT SERVICES, LLC
April 5, 1999 - June 20, 2000
COWEN AND COMPANY
April 16, 1985 - September 9, 1985
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
June 20, 1984 - April 8, 1985
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
JEFFERIES HIGH YIELD TRADING, LLC
CRD#: 47363 / SEC#: , 8-51771
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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