Raymond E. Neidl
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.
Raymond Edward Neidl, who also goes by Raymond E Neidl, Raymond Edward Neidl, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1989. Raymond had worked at 7 firms and has passed the Series 63, Series 86, Series 87, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2010 - December 14, 2012
MAXIM GROUP LLC
September 28, 2004 - March 3, 2009
CREDIT AGRICOLE SECURITIES (USA) INC.
August 19, 2002 - September 1, 2004
BLAYLOCK & COMPANY, INC.
April 30, 2001 - April 22, 2002
ABN AMRO INCORPORATED
July 1, 1998 - April 30, 2001
ABN AMRO SECURITIES LLC
January 1, 1998 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
August 28, 1992 - February 19, 1998
ABN AMRO SECURITIES LLC
December 19, 1989 - September 10, 1991
SBC WARBURG DILLON READ 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
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
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