CB
Christopher T. Brothers
MAXIM GROUP LLC
Ft Lauderdale, FL 33301
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CRD#: 2186156
CB
Professional summary
Christopher Thomas Brothers, who also goes by Chris Brothers, Christopher T Brothers, is a registered financial professional currently at MAXIM GROUP LLC located in Ft Lauderdale, Florida.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1992. Christopher has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chris Brothers | Christopher T Brothers
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 Christopher Thomas Brothers'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
November 18, 2009 - Present
MAXIM GROUP LLC
Office #1: 1 East Broward Blvd Suite 1430, Ft Lauderdale, FL 33301BD
CRD#: 120708
Ft Lauderdale, FL
Past
October 30, 2007 - November 23, 2009
ADVANCED EQUITIES, INC.
RIA
CRD#: 35545
NEW YORK, NY
Past
October 29, 2007 - November 23, 2009
ADVANCED EQUITIES, INC.
BD
CRD#: 35545
NEW YORK, NY
Past
March 24, 2003 - October 30, 2007
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
January 9, 1998 - March 20, 2003
KSH INVESTMENT GROUP, INC.
BD
CRD#: 41817
GREAT NECK, NY
Past
November 21, 1995 - December 13, 1995
AMERICORP SECURITIES, INC.
BD
CRD#: 30405
NEW YORK, NY
Past
July 9, 1993 - January 6, 1998
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
October 2, 1992 - July 8, 1993
BLUESTONE CAPITAL CORP.
BD
CRD#: 13516
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
Alaska(9/6/2018)
RR
Arizona(1/4/2010)
RR
California(1/4/2010)
RR
Colorado(1/4/2010)
RR
Connecticut(1/4/2010)
RR
Delaware(7/25/2014)
RR
District of Columbia(8/3/2018)
RR
Florida(1/4/2010)
RR
Georgia(1/4/2010)
RR
Hawaii(10/14/2014)
RR
Idaho(2/28/2017)
RR
Illinois(1/4/2010)
RR
Indiana(5/26/2010)
RR
Iowa(10/25/2016)
RR
Kansas(1/4/2010)
RR
Kentucky(6/8/2011)
RR
Louisiana(10/15/2010)
RR
Maine(7/15/2020)
RR
Maryland(3/7/2011)
RR
Massachusetts(1/4/2010)
RR
Michigan(12/4/2009)
RR
Minnesota(1/13/2010)
RR
Mississippi(3/14/2013)
RR
Missouri(7/21/2014)
RR
Montana(8/17/2018)
RR
Nebraska(8/17/2018)
RR
Nevada(2/17/2010)
RR
New Hampshire(6/18/2020)
RR
New Jersey(1/4/2010)
RR
New Mexico(1/4/2010)
RR
New York(11/18/2009)
RR
North Carolina(1/13/2010)
RR
North Dakota(11/24/2009)
RR
Ohio(12/4/2009)
RR
Oregon(12/19/2014)
RR
Pennsylvania(11/24/2009)
RR
Puerto Rico(8/21/2018)
RR
Rhode Island(6/8/2011)
RR
South Carolina(3/27/2017)
RR
South Dakota(7/22/2014)
RR
Tennessee(1/4/2010)
RR
Texas(12/4/2009)
RR
Utah(3/26/2018)
RR
Virgin Islands(3/5/2012)
RR
Virginia(6/6/2011)
RR
Washington(1/4/2010)
RR
West Virginia(7/6/2017)
RR
Wisconsin(1/4/2010)
RR
Wyoming(8/18/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MAXIM GROUP LLC
CRD#: 120708Ft Lauderdale, FL 33301TRUST BUT VERIFY
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