David S. Haraburda
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.
David Scott Haraburda was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 3, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2012 - December 14, 2017
MAXIM GROUP LLC
May 5, 2008 - March 1, 2012
CANACCORD GENUITY SECURITIES LLC
February 3, 2006 - April 21, 2008
OPPENHEIMER & CO. INC.
February 3, 2006 - April 21, 2008
OPPENHEIMER & CO. INC.
December 14, 2005 - December 15, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 1, 2005 - December 15, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 11, 2003 - December 2, 2005
LEGG MASON WOOD WALKER, INCORPORATED
September 9, 2003 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
June 12, 2001 - September 19, 2003
CITIGROUP GLOBAL MARKETS INC.
June 5, 2001 - September 19, 2003
CITIGROUP GLOBAL MARKETS INC.
June 5, 1998 - May 31, 2001
J.P. MORGAN SECURITIES LLC
January 30, 1997 - May 20, 1998
MORGAN STANLEY DW 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
Series 55
Date: 6/26/2007
Limited Representative-Equity Trader ExamCurrent 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.
