Kevin M. 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.
Kevin Michael Maxwell SR., who also goes by Kevin Michael Maxwell Sr, Kevin Michael Maxwell, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1985. Kevin had worked at 9 firms and has passed the Series 63, Series 52TO, Series 72, SIE, Series 7, Series 53 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
December 20, 2023 - December 24, 2024
SAMUEL A. RAMIREZ & COMPANY, INC.
July 31, 2018 - June 21, 2023
PIPER SANDLER & CO.
October 2, 2017 - August 1, 2018
BREAN CAPITAL, LLC
June 5, 2015 - September 21, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 1, 2013 - June 5, 2015
STERNE, AGEE & LEACH, INC.
November 17, 2008 - July 2, 2013
OPPENHEIMER & CO. INC.
July 13, 1989 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
November 8, 1988 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
November 19, 1985 - September 17, 2008
LEHMAN BROTHERS 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
SAMUEL A. RAMIREZ & COMPANY, INC.
CRD#: 6963 / SEC#: , 8-19014
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAR HOLDINGS, INC. | HOLDING COMPANY | |
| GOLDMAN, LAWRENCE F | MANAGING DIRECTOR | 1134640 |
| KICK, MICHAEL J | SR. VP/ CFO/ FIN OP | 4480676 |
| KOFFER, JOSEPH | CHIEF COMPLIANCE OFFICER | 6043686 |
| MAZZARO, VINCENT ANTHONY | COO | 2665339 |
| PERROTTA, THOMAS | MANAGING DIRECTOR | 1864851 |
| RAMIREZ, SAMUEL ALFRED | PRESIDENT & DIRECTOR/SECRETARY | 827095 |
| RAMIREZ,, SAMUEL ALFRED JR | MANAGING DIRECTOR | 2261054 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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