Michael A. Kalfa
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.
Michael Anthony Kalfa was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 11 firms and has passed the Series 63, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2005 - November 16, 2007
MAXIM GROUP LLC
November 15, 2002 - September 8, 2005
CHICAGO INVESTMENT GROUP, LLC
January 2, 2002 - August 8, 2002
LADENBURG CAPITAL MANAGEMENT INC.
October 27, 1999 - January 2, 2002
LADENBURG THALMANN & CO. INC.
January 4, 1999 - October 12, 1999
JWGENESIS FINANCIAL GROUP, INC
July 1, 1996 - January 4, 1999
CHATFIELD DEAN & CO., INC.
October 6, 1995 - July 1, 1996
ARGENT SECURITIES, INC.
June 7, 1995 - September 28, 1995
HUNTER INTERNATIONAL SECURITIES, INC.
July 13, 1994 - June 26, 1995
JWGENESIS SECURITIES, INC.
February 19, 1993 - July 29, 1994
JOSEPHTHAL & CO., INC.
August 2, 1991 - February 10, 1993
HIBBARD BROWN & CO., 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
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.
