Jason Paul Sardo
Professional Summary
Jason Paul Sardo, who also goes by Jason P Sardo, is a registered financial advisor currently at MAXIM GROUP LLC located in Miami Beach, Florida. Jason is registered as a RR (Registered Representative) and started their career in finance in 1991. Jason has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jason P Sardo
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SUMMIT FINANCIAL, LLC
Videos & Posts
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SUMMIT FINANCIAL, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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SUMMIT FINANCIAL, LLC
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Disclosures on record.
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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SUMMIT FINANCIAL, LLC
Years of Experience
34 years in the financial services industry
Current & Past Employments
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SUMMIT FINANCIAL, LLC
Current Firm
M-VEST (A WHOLLY OWNED DIVISION OF MAXIM GROUP) | MAXIM MERCHANT CAPITAL (A WHOLLY OWNED DIVISION OF MAXIM GROUP | MAXIM GROUP LLC
Contact Information
Main Address
300 Park Ave 16th Floor, New York, NY 10022Mailing Address
300 Park Ave 16th Floor, New York, NY 10022Phone Number
(212) 895-3500Established
New York since 04/11/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| 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
37Arbitration
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SUMMIT FINANCIAL, LLC
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.
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SUMMIT FINANCIAL, LLC
State Registrations and Notice Filings
(3/19/2018)
(3/28/2018)
(2/15/2018)
(3/28/2018)
(8/15/2005)
(3/14/2014)
(8/15/2005)
(9/2/2005)
(1/10/2019)
(1/26/2006)
(5/19/2017)
(11/28/2017)
(7/26/2018)
(7/27/2016)
(2/15/2018)
(3/28/2018)
(11/30/2017)
(3/28/2018)
(7/26/2018)
(3/28/2018)
(2/18/2010)
(2/17/2010)
(3/28/2018)
(7/29/2016)
(3/28/2018)
(7/28/2016)
(3/28/2018)
(3/28/2018)
(5/6/2016)
(8/29/2016)
(8/15/2005)
(3/28/2018)
(8/9/2005)
(5/25/2016)
(3/28/2018)
(7/27/2016)
(3/28/2018)
(5/3/2017)
(4/29/2016)
(5/4/2016)
(2/7/2018)
(3/28/2018)
(3/28/2018)
(2/15/2018)
(5/6/2014)
(3/28/2018)
(3/28/2018)
(3/2/2018)
(7/27/2016)
(8/4/2016)
(3/17/2009)
(2/15/2018)
(3/28/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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SUMMIT FINANCIAL, LLC
CRS (Client Relationship Summary) - BD
Click below to view Jason Paul Sardo's CRS (Customer Relationship Summary).
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SUMMIT FINANCIAL, LLC
