Daniel C. Balestra
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.
Daniel Cadorna Balestra, who also goes by Daniel Cadorno Balestra, Daniel Cardona Balestra, Danny C Balestra, Dan Balestra, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1989. Daniel had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2008 - June 23, 2022
MAXIM GROUP LLC
August 31, 2004 - April 30, 2008
NETWORK 1 FINANCIAL SECURITIES INC.
October 23, 2002 - September 10, 2004
MAXIM GROUP LLC
December 18, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
November 6, 1998 - December 18, 2000
GKN SECURITIES CORP.
April 17, 1997 - November 25, 1998
M.S. FARRELL & COMPANY, INC.
June 27, 1996 - April 14, 1997
THE BOSTON GROUP
September 22, 1992 - June 13, 1996
GRUNTAL & CO., L.L.C.
November 8, 1991 - September 3, 1992
GKN SECURITIES CORP.
June 21, 1991 - October 31, 1991
MANCHESTER RHONE SECURITIES CORP.
February 14, 1991 - May 3, 1991
BERKELEY SECURITIES CORPORATION
January 31, 1990 - February 14, 1991
GLOBAL CAPITAL SECURITIES, INC.
October 25, 1989 - January 27, 1990
J. T. MORAN & CO., 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
Exams
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
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.
