Salvatore Anthony Fradella
Professional Summary
Salvatore Anthony Fradella is a registered financial advisor currently at MAXIM FINANCIAL ADVISORS LLC located in Woodbury, New York and MAXIM GROUP LLC located in Woodbury, New York. Salvatore is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Salvatore has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
MAXIM CAPITAL MANAGEMENT | MAXIM FINANCIAL ADVISORS, LLC | MAXIM FINANCIAL ADVISORS LLC
Contact Information
Main Address
300 Park Ave 16th Fl, New York, NY 10022Phone Number
(212) 895-3500# of Employees
35SEC notice filing (24 States and Territories)
Registered to provide investment advisory services in 24 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
775AUM (Assets Under Management)
$445,461,887Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/17/2026 | Cover Page | Report |
| 01/27/2025 | Cover Page | Report |
| 09/17/2024 | Cover Page | Report |
| 12/19/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
MAXIM CAPITAL MANAGEMENT | MAXIM FINANCIAL ADVISORS, LLC | MAXIM FINANCIAL ADVISORS LLC
State Registrations and Notice Filings
(6/7/2018)
(10/23/2002)
(4/12/2021)
(10/23/2002)
(4/14/2021)
(10/23/2002)
(10/23/2002)
(10/25/2002)
(10/23/2002)
(4/2/2018)
(4/22/2021)
(10/23/2002)
(10/23/2002)
(10/23/2002)
(3/17/2011)
(10/23/2002)
(7/19/2018)
(10/23/2002)
(10/23/2002)
(10/23/2002)
(10/23/2002)
(10/29/2002)
(4/1/2009)
(10/23/2002)
(10/23/2002)
(10/23/2002)
(11/1/2017)
(7/19/2019)
(10/23/2002)
(7/23/2021)
(10/23/2002)
(5/11/2012)
(10/23/2002)
(4/25/2022)
(10/23/2002)
(10/23/2002)
(10/23/2002)
(5/31/2012)
(11/12/2002)
(10/23/2002)
(11/22/2017)
(10/23/2002)
(5/22/2017)
(10/23/2002)
(10/23/2002)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2005About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2004About the Series 9 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Salvatore Anthony Fradella's CRS (Customer Relationship Summary).
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