Mitchell J. Speiser
Professional summary
Mitchell James Speiser, who also goes by Mitchell Speiser, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Mitchell is registered as a RR (Registered Representative) and started their career in finance in 1989. Mitchell has worked at 10 firms and has passed the Series 63, Series 72, SIE, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mitchell James Speiser's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 5, 2016 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022November 20, 2020 - October 15, 2021
FINPOSTFIN LLC
April 15, 2015 - August 10, 2016
SIDOTI & COMPANY, LLC
March 26, 2008 - November 19, 2013
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
October 1, 2007 - March 17, 2008
PULSE TRADING, INC.
May 20, 2004 - June 1, 2007
JEFFERIES LLC
April 25, 1996 - May 12, 2004
LEHMAN BROTHERS INC.
January 31, 1996 - March 15, 1996
CASPIAN SECURITIES INCORPORATED
June 25, 1992 - November 13, 1995
NATWEST SECURITIES CORPORATION
April 8, 1989 - March 4, 1992
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/5/2016)
Exams
Series 72
Date: 1/2/2023
Government Securities 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
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