JS
Jason P. Sardo
MAXIM GROUP LLC
Miami Beach, FL 33139
Some features on this profile are disabled
CRD#: 2157822
JS
Professional summary
Jason Paul Sardo, who also goes by Jason P Sardo, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jason P Sardo
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.
CRS (Client Relationship Summary) - BD
Click below to view Jason Paul Sardo's 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®
NoneExperience
Current
August 9, 2005 - Present
MAXIM GROUP LLC
Office #1: 555 Washington Ave, Suite 320, Miami Beach, FL 33139BD
CRD#: 120708
Miami Beach, FL
Past
January 14, 2005 - August 31, 2005
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
January 14, 2002 - January 14, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW YORK, NY
Past
January 29, 2001 - January 14, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 26, 1997 - February 21, 2001
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
April 2, 1993 - October 22, 1997
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
December 4, 1991 - April 5, 1993
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(3/19/2018)
RR
Alaska(3/28/2018)
RR
Arizona(2/15/2018)
RR
Arkansas(3/28/2018)
RR
California(8/15/2005)
RR
Colorado(3/14/2014)
RR
Connecticut(8/15/2005)
RR
Delaware(9/2/2005)
RR
District of Columbia(1/10/2019)
RR
Florida(1/26/2006)
RR
Georgia(5/19/2017)
RR
Hawaii(11/28/2017)
RR
Idaho(7/26/2018)
RR
Illinois(7/27/2016)
RR
Indiana(2/15/2018)
RR
Iowa(3/28/2018)
RR
Kansas(11/30/2017)
RR
Kentucky(3/28/2018)
RR
Louisiana(7/26/2018)
RR
Maine(3/28/2018)
RR
Maryland(2/18/2010)
RR
Massachusetts(2/17/2010)
RR
Michigan(3/28/2018)
RR
Minnesota(7/29/2016)
RR
Mississippi(3/28/2018)
RR
Missouri(7/28/2016)
RR
Montana(3/28/2018)
RR
Nebraska(3/28/2018)
RR
Nevada(5/6/2016)
RR
New Hampshire(8/29/2016)
RR
New Jersey(8/15/2005)
RR
New Mexico(3/28/2018)
RR
New York(8/9/2005)
RR
North Carolina(5/25/2016)
RR
North Dakota(3/28/2018)
RR
Ohio(7/27/2016)
RR
Oklahoma(3/28/2018)
RR
Oregon(5/3/2017)
RR
Pennsylvania(4/29/2016)
RR
Puerto Rico(5/4/2016)
RR
Rhode Island(2/7/2018)
RR
South Carolina(3/28/2018)
RR
South Dakota(3/28/2018)
RR
Tennessee(2/15/2018)
RR
Texas(5/6/2014)
RR
Utah(3/28/2018)
RR
Vermont(3/28/2018)
RR
Virgin Islands(3/2/2018)
RR
Virginia(7/27/2016)
RR
Washington(8/4/2016)
RR
West Virginia(3/17/2009)
RR
Wisconsin(2/15/2018)
RR
Wyoming(3/28/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MG
MAXIM GROUP LLC
M-VEST (A WHOLLY OWNED DIVISION OF MAXIM GROUP) | MAXIM MERCHANT CAPITAL (A WHOLLY OWNED DIVISION OF MAXIM GROUP | MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
300 Park Ave 16th Floor, New York, NY 10022
Mailing Address
300 Park Ave 16th Floor, New York, NY 10022
Phone number
(212) 895-3500
Established
New York since 04/11/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
Company Information
MAXIM GROUP LLC
CRD#: 120708Miami Beach, FL 33139TRUST BUT VERIFY
Monitor Jason Sardo
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
