Leonard J. Parisi
Professional summary
Leonard Joseph Parisi is a registered financial advisor currently at MAXIM FINANCIAL ADVISORS LLC located in New York, New York and MAXIM GROUP LLC located in New York, New York.
Leonard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Leonard has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Leonard Joseph Parisi's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 30, 2017 - Present
MAXIM FINANCIAL ADVISORS LLC
Office #1: 300 Park Ave 16th Fl, New York, NY 10022October 23, 2002 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022September 24, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
April 21, 1999 - October 4, 1999
JOSEPHTHAL & CO., INC.
April 29, 1998 - May 10, 1999
BARINGTON CAPITAL GROUP, L.P.
September 15, 1995 - April 14, 1998
D. H. BLAIR & CO., INC.
Primary Firm SEC Registration
MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/23/2002)
(10/23/2002)
(10/29/2002)
(3/2/2009)
(3/27/2009)
(10/24/2002)
(1/5/2009)
(5/1/2024)
(4/11/2025)
(9/4/2025)
(10/23/2002)
(10/23/2002)
(5/8/2009)
(11/10/2006)
(10/23/2002)
(10/23/2002)
(10/30/2017)
(10/23/2002)
(7/23/2021)
(10/23/2002)
(6/18/2008)
(10/23/2002)
(2/1/2021)
(10/23/2002)
(6/29/2022)
(3/27/2009)
(6/10/2025)
Exams
FINRA
Nasdaq Stock Market
Current Firm
MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 753 |
| AUM (Assets Under Management) | $ 396,466,473 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 09/17/2024 | ||
| 12/19/2023 | ||
| 01/24/2023 |
Red Flags
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