Christopher J. Fiore

MAXIM FINANCIAL ADVISORS LLC

New York, NY 10022

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CRD#: 2269479

Professional summary

Christopher James Fiore, who also goes by Chris Fiore, Christopher J Fiore, is a registered financial advisor currently at MAXIM FINANCIAL ADVISORS LLC located in New York, New York and MAXIM GROUP LLC located in Miami Beach, Florida.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Christopher has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Fiore | Christopher J Fiore

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.

See below list. Investment related - personal real estate investments made through LLCs. Existing investor. No more than 1 hour per week during securities trading hours. Provide capital. 1883 Carpenter Rd, 411 Fork IOS LLC, 615 S Wisteria IOS LLC, 2023 W Prince St IOS LLC, 6721 West Morten ISO LLC, Austin North 4C LLC, Balch House Tax (66 S Main St Providence), Bridge Opportunity Zone Fund III, Cambridge Coco B Holdings LLC, CIM Epic II QOF LLP, Lanai 501 LLC, Gateway Ten Baytown IOS LLC, North Loop 12 IOS LLC, LSOF BMW NED LLC, Oregon Port AG Investors LLC, Palmyra Park i-10 IOS, Park Ave Storage, Pasadena RES I LLC, Prelude Real Estate Holdings LLC, PTM Opportunity Zone Fund II, RDFWR LLC, Series A of Prelude Credit Opportunities LLC, Series B of Prelude Credit Opportunities LLC, Series D of Prelude Credit Opportunities LLC, Taylor Chandler 5 LLC, Timber OP OZ, TLC OZ Fund LLC, Tempe 3rd ST 105 LLC, West Durango IOS LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher James Fiore's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 4, 2019 - Present

MAXIM FINANCIAL ADVISORS LLC

Office #1: 300 Park Ave 16th Fl, New York, NY 10022

RIA

CRD#: 139366

New York, NY

Current

October 23, 2002 - Present

MAXIM GROUP LLC

Office #1: 555 Washington Ave, Suite 320, Miami Beach, FL 33139

CRD#: 120708

Miami Beach, FL

Past

January 8, 2019 - October 15, 2021

FINPOSTFIN LLC

CRD#: 297463

New York, NY

Past

April 12, 2001 - October 23, 2002

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

April 4, 1997 - March 26, 2001

TRADE.COM ONLINE SECURITIES, INC.

CRD#: 36189

NEW YORK, NY

Past

January 4, 1996 - April 21, 1997

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Past

July 31, 1993 - February 6, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 12, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 27, 1992 - April 6, 1993

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

August 21, 1992 - September 28, 1992

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MAXIM FINANCIAL ADVISORS LLC

MAXIM CAPITAL MANAGEMENT | MAXIM FINANCIAL ADVISORS, LLC | MAXIM FINANCIAL ADVISORS LLC

CRD#: 139366 / SEC#: 801-66147

RIA

Registered Investment Advisory firm - (1/26/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(5/21/2020)

California
(5/16/2005)

Connecticut
(5/12/2020)

Delaware
(8/13/2019)

Florida
(4/20/2010)

Georgia
(5/15/2020)

Illinois
(5/15/2020)

Massachusetts
(9/25/2006)

Nevada
(5/24/2017)

New Jersey
(7/11/2005)

IAR

New Jersey
(1/4/2019)

New York
(10/23/2002)

IAR

New York
(8/2/2021)

Ohio
(4/5/2016)

South Carolina
(10/31/2016)

Texas
(2/18/2016)

Wyoming
(11/14/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/19/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/24/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/20/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/25/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/25/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 3/21/2000

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

MAXIM FINANCIAL ADVISORS LLC

MAXIM CAPITAL MANAGEMENT | MAXIM FINANCIAL ADVISORS, LLC | MAXIM FINANCIAL ADVISORS LLC

CRD#: 139366 / SEC#: 801-66147

RIA

Registered Investment Advisory firm - (1/26/2006 Approved)

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Contact information

Main Address

300 Park Ave 16th Fl, New York, NY 10022

Mailing Address

Phone number

(212) 895-3500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/28/2025)

ADV PART 2A APPENDIX 1- WRAP FEE BROCHURE (2/28/2025)

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	Cover Page	Report
09/17/2024	Cover Page	Report
12/19/2023	Cover Page	Report
01/24/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Christopher J. Fiore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher James Fiore's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAXIM GROUP LLC

FINPOSTFIN LLC

HAPOALIM SECURITIES USA, INC.

TRADE.COM ONLINE SECURITIES, INC.

COMMONWEALTH ASSOCIATES

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

GRUNTAL & CO., L.L.C.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

MAXIM FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/19/1993

Series 63

Date: 8/26/1992

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/24/2002

Series 7

Date: 8/20/1992

Series 10

Date: 3/25/2002

Series 9

Date: 10/25/2001

Series 24

Date: 3/21/2000

FINRA

Nasdaq Stock Market

Current Firm

MAXIM FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MAXIM FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

Contact information

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