Robert S. Marder
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.
Robert Sanford Marder, who also goes by Robert Marder, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2017 - June 3, 2022
MAXIM FINANCIAL ADVISORS LLC
October 23, 2002 - June 3, 2022
MAXIM GROUP LLC
June 1, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
April 6, 1994 - June 1, 1999
STUART, COLEMAN & CO., INC.
April 5, 1993 - March 31, 1994
LADENBURG THALMANN & CO. INC.
January 25, 1993 - April 23, 1993
SUPPES SECURITIES, INC.
February 3, 1992 - November 18, 1992
UBS FINANCIAL SERVICES 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
Exams
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
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.
