Cindy E. Vulcano
Professional summary
Cindy Ellen Vulcano, who also goes by Cindy Ellen Wertheimer, is a registered financial professional currently at MAXIM GROUP LLC located in Woodbury, New York.
Cindy is registered as a RR (Registered Representative) and started their career in finance in 1988. Cindy has worked at 6 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cindy Ellen Vulcano's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2008 - Present
MAXIM GROUP LLC
Office #1: 100 Crossways Park Drive West - Suite 207, Woodbury, NY 11797June 5, 2006 - July 14, 2008
SANDGRAIN SECURITIES LLC
January 2, 2003 - August 16, 2004
SANDGRAIN SECURITIES LLC
April 29, 1998 - December 31, 2000
LAIDLAW GLOBAL SECURITIES, INC.
May 4, 1990 - April 28, 1998
D. H. BLAIR & CO., INC.
April 27, 1989 - March 19, 1990
DELTEC ASSET MANAGEMENT CORPORATION
July 19, 1988 - January 3, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/28/2024)
(5/21/2014)
(7/9/2024)
(9/9/2008)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional 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
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