Timmy W. Moi
Professional summary
Timmy Woon Moi, who also goes by Timmy Woonching Moi, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Timmy is registered as a RR (Registered Representative) and started their career in finance in 1990. Timmy has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timmy Woon Moi's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 4, 2014 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022July 6, 2012 - February 13, 2014
NEW ALBION PARTNERS LLC
February 28, 2011 - June 28, 2012
LINKBROKERS DERIVATIVES LLC
December 3, 2002 - March 9, 2011
MAXIM GROUP LLC
May 17, 2000 - December 20, 2002
HAPOALIM SECURITIES USA, INC.
January 16, 1995 - May 22, 2000
SCHRODER & CO. INC.
March 1, 1993 - January 24, 1995
FREETRADE.COM, INC.
October 23, 1990 - April 6, 1992
PRUCO SECURITIES, LLC.
July 25, 1990 - August 28, 1990
SOUTH RICHMOND SECURITIES, INC.
May 22, 1990 - September 6, 1990
LEHMAN BROTHERS 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
(3/4/2014)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/14/2000
Limited Representative-Equity Trader ExamFINRA
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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