Lysandra D. Maxim

CETERA INVESTMENT ADVISERS LLC

NEW YORK, NY

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CRD#: 2141537

Professional summary

Lysandra Danielle Maxim, CFP®, who also goes by Maxim Lee, Eysandra Danielle Macim, Lee Maxim, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Lysandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Lysandra has worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Maxim Lee | Eysandra Danielle Macim | Lee Maxim

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lysandra Danielle Maxim's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NEW YORK, NY

Current

April 20, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 13572

El Segundo, CA

Current

April 28, 2021 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Current

March 17, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

March 13, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Past

April 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

April 3, 2018 - March 25, 2021

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

NEW YORK, NY

Past

February 20, 2018 - March 25, 2021

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

NEW YORK, NY

Past

January 9, 2009 - March 3, 2016

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

July 2, 2007 - August 21, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

October 4, 2006 - November 9, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

METUCHEN, NJ

Past

July 11, 2006 - September 28, 2006

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

BRONX, NY

Past

January 1, 2005 - September 28, 2006

HSBC SECURITIES (USA) INC.

CRD#: 19585

BRONX, NY

Past

October 12, 2004 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

May 9, 2003 - October 5, 2004

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

April 8, 2003 - October 5, 2004

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

May 1, 2002 - March 7, 2003

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

November 21, 2001 - May 1, 2002

DIME SECURITIES, INC.

CRD#: 28955

BROOKLYN, NY

Past

April 30, 2001 - October 3, 2001

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

July 27, 1998 - April 24, 2001

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

April 28, 1998 - July 29, 1998

SURETRADE INC.

CRD#: 43625

LINCOLN, RI

Past

July 12, 1995 - June 10, 1996

MURIEL SIEBERT & CO., LLC

CRD#: 5376

NEW YORK, NY

Past

July 31, 1992 - August 3, 1993

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

November 29, 1991 - August 11, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(4/20/2021)

IAR

New York
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/10/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/27/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/7/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/18/2004

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Lysandra D. Maxim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lysandra Danielle Maxim's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA ADVISORS LLC

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA WEALTH SERVICES, LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

EQUITABLE ADVISORS, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

DIME SECURITIES, INC.

EQUITABLE ADVISORS, LLC

QUICK & REILLY, INC.

SURETRADE INC.

MURIEL SIEBERT & CO., LLC

GRUNTAL & CO., L.L.C.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2018

Series 63

Date: 12/10/1991

SIE

Date: 10/1/2018

Series 7

Date: 11/27/1991

Series 10

Date: 2/7/2005

Series 9

Date: 12/18/2004

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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