Michael S. Messinger

MAXIM GROUP LLC

Ft Lauderdale, FL 33301

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CRD#: 1403506

Professional summary

Michael Spencer Messinger is a registered financial professional currently at MAXIM GROUP LLC located in Ft Lauderdale, Florida.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 10 firms and has passed the Series 65, Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Spencer Messinger's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 11, 2013 - Present

MAXIM GROUP LLC

Office #1: 1 East Broward Blvd Suite 1430, Ft Lauderdale, FL 33301

CRD#: 120708

Ft Lauderdale, FL

Past

June 19, 2012 - December 13, 2013

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

March 26, 2012 - March 29, 2012

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

September 9, 2010 - September 27, 2012

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

March 31, 2006 - September 20, 2010

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

October 23, 2002 - March 23, 2006

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

August 6, 2002 - October 23, 2002

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

March 7, 2002 - August 2, 2002

WALL STREET ACCESS

CRD#: 10012

NEW YORK, NY

Past

October 29, 1996 - March 25, 2002

CROWN FINANCIAL GROUP, INC.

CRD#: 540

JERSEY CITY, NJ

Past

October 24, 1995 - January 16, 1997

STUART, COLEMAN & CO., INC.

CRD#: 8642

NEW YORK, NY

Past

February 2, 1995 - October 27, 1995

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Past

April 11, 1991 - February 9, 1995

STUART, COLEMAN & CO., INC.

CRD#: 8642

NEW YORK, NY

Past

January 4, 1989 - April 12, 1991

RICKEL & ASSOCIATES, INC.

CRD#: 7839

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(2/16/2017)

Nevada
(4/28/2023)

New Jersey
(5/8/2017)

New York
(12/11/2013)

South Carolina
(3/18/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/2/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/18/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/19/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 5/12/1993

Municipal Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

MAXIM GROUP LLC

M-VEST (A WHOLLY OWNED DIVISION OF MAXIM GROUP) | MAXIM MERCHANT CAPITAL (A WHOLLY OWNED DIVISION OF MAXIM GROUP | MAXIM GROUP LLC

CRD#: 120708 / SEC#: , 8-65337

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

300 Park Ave 16th Floor, New York, NY 10022

Mailing Address

300 Park Ave 16th Floor, New York, NY 10022

Phone number

(212) 895-3500

Established

New York since 04/11/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Firm Stability Insights

Michael S. Messinger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Spencer Messinger's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANACCORD GENUITY LLC

CANACCORD GENUITY LLC

CANACCORD GENUITY SECURITIES LLC

H.C.WAINWRIGHT & CO., LLC

MAXIM GROUP LLC

HAPOALIM SECURITIES USA, INC.

WALL STREET ACCESS

CROWN FINANCIAL GROUP, INC.

STUART, COLEMAN & CO., INC.

COMMONWEALTH ASSOCIATES

STUART, COLEMAN & CO., INC.

RICKEL & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/2003

Series 63

Date: 8/2/1989

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 1/18/2000

Series 7

Date: 6/18/1988

Series 24

Date: 1/19/2001

Series 53

Date: 5/12/1993

FINRA

Nasdaq Stock Market

Current Firm

MAXIM GROUP LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MAXIM GROUP LLC

TRUST BUT VERIFY

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