Martin I. Schaffer
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.
Martin Irwin Schaffer, who also goes by Marty Schaffer, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1985. Martin had worked at 16 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2012 - December 18, 2012
MAXIM GROUP LLC
July 28, 2003 - December 16, 2011
NEWBRIDGE SECURITIES CORPORATION
April 22, 2002 - August 25, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
December 13, 2001 - April 23, 2002
WINDSOR STREET CAPITAL, LP
November 19, 2001 - December 11, 2001
SANDS BROTHERS & CO., LTD.
August 31, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
May 18, 2000 - August 31, 2001
SSI SECURITIES CORP.
February 16, 1999 - March 26, 1999
EARLYBIRDCAPITAL, INC.
February 6, 1991 - January 2, 2001
GKN SECURITIES CORP.
September 6, 1990 - January 23, 1991
PARAGON CAPITAL MARKETS, INC.
January 31, 1990 - October 10, 1990
PRINCETON FINANCIAL GROUP, INC.
June 30, 1988 - February 24, 1990
J. T. MORAN & CO., INC.
September 5, 1986 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
June 6, 1986 - September 19, 1986
FIRST FLORIDA SECURITIES GROUP, INC.
May 6, 1986 - June 11, 1986
MONVEST SECURITIES, INC.
April 23, 1985 - May 19, 1986
BROOKS WEINGER ROBBINS & LEEDS 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
Series 8
Date: 2/29/1988
General Securities Sales Supervisor Examination (Options Module & General Module)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.
