John H. Peyton
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.
John Hamilton Peyton, who also goes by John H. Peyton Jr., John H. Peyton, John Hamilton Peyton Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 13 firms and has passed the Series 63 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
May 1, 2013 - July 1, 2013
MAXIM GROUP LLC
November 8, 2010 - November 22, 2011
MORGAN JOSEPH TRIARTISAN LLC
November 24, 2008 - November 1, 2010
SOLEIL SECURITIES CORPORATION
November 12, 2007 - September 11, 2008
GLEACHER & COMPANY SECURITIES, INC.
February 22, 2006 - November 12, 2007
RODMAN & RENSHAW, LLC
January 4, 2005 - September 27, 2005
SANDERS MORRIS LLC
July 12, 2004 - December 13, 2004
BLAYLOCK & COMPANY, INC.
June 10, 2002 - March 16, 2004
FULCRUM GLOBAL PARTNERS LLC
May 3, 2002 - June 11, 2002
JEFFERIES LLC
January 21, 1999 - April 17, 2002
GRUNTAL & CO., L.L.C.
April 9, 1996 - January 4, 1999
ROTHSCHILD & CO US INC.
October 3, 1995 - November 17, 1995
JAMES CAPEL INCORPORATED
October 20, 1993 - June 13, 1995
CANTOR FITZGERALD & CO.
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 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.
