John H. Shaw
Professional summary
John Henry Shaw, who also goes by John Henry Shaw III, John Henry III Shaw, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1986. John has worked at 19 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Henry Shaw's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 29, 2012 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022September 24, 2019 - October 15, 2021
FINPOSTFIN LLC
December 19, 2007 - October 19, 2012
DEUTSCHE BANK SECURITIES INC.
October 7, 2004 - December 20, 2007
LEGEND MERCHANT GROUP, INC.
October 14, 2002 - December 20, 2007
LEGEND MERCHANT GROUP, INC.
June 8, 2000 - September 20, 2002
JESUP & LAMONT SECURITIES CORP
November 9, 1999 - June 21, 2000
THINKEQUITY LLC
August 7, 1998 - November 15, 1999
FAIRCHILD FINANCIAL GROUP, INC.
April 25, 1997 - August 7, 1998
LEGEND MERCHANT GROUP, INC.
March 19, 1997 - April 25, 1997
FAIRCHILD FINANCIAL GROUP, INC.
November 9, 1994 - March 19, 1997
OPPENHEIMER & CO. INC.
June 14, 1993 - November 23, 1994
LADENBURG THALMANN & CO. INC.
October 25, 1990 - June 14, 1993
GRUNTAL & CO., L.L.C.
February 27, 1990 - November 9, 1990
COMMONWEALTH ASSOCIATES
January 18, 1990 - February 28, 1990
JJC SECURITIES CO., INC.
January 2, 1990 - January 29, 1990
HANIFEN, IMHOFF SECURITIES CORP.
May 4, 1989 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
April 17, 1989 - May 3, 1989
ALL-TECH DIRECT, INC.
February 23, 1989 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
August 15, 1988 - February 7, 1989
ALLIED CAPITAL GROUP, INC.
April 15, 1987 - August 17, 1988
THE STUART-JAMES COMPANY, INCORPORATED
November 17, 1986 - May 1, 1987
FORESTERS FINANCIAL SERVICES, 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
(12/7/2012)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
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.
