Erik S. Brous
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.
Erik Stephan Brous was a registered financial professional .
Erik is a previously registered financial professional and started their career in finance in 1989. Erik had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2022 - June 21, 2023
MAXIM GROUP LLC
October 19, 2020 - March 2, 2021
D. BORAL CAPITAL
August 14, 2020 - October 19, 2020
I-BANKERS DIRECT, LLC
October 19, 2012 - August 24, 2020
LADENBURG THALMANN & CO. INC.
October 6, 2008 - November 14, 2012
MAXIM GROUP LLC
October 15, 2004 - October 27, 2008
AXIOM CAPITAL MANAGEMENT, INC.
October 1, 2001 - April 14, 2004
J.P. MORGAN SECURITIES LLC
September 26, 1997 - October 16, 2001
LEHMAN BROTHERS INC.
October 17, 1994 - September 29, 1997
UBS FINANCIAL SERVICES INC.
July 31, 1993 - November 1, 1994
CITIGROUP GLOBAL MARKETS INC.
September 28, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
May 22, 1989 - October 6, 1992
CITIGROUP GLOBAL MARKETS INC.
March 8, 1989 - May 22, 1989
DREXEL BURNHAM LAMBERT 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
Exams
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.
