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PK

Peter M. Kaufman

MAXIM GROUP LLC
Miami Beach, FL 33139
Some features on this profile are disabled
CRD#: 2375036
PK

Professional summary

Peter Marc Kaufman is a registered financial professional currently at MAXIM GROUP LLC located in Miami Beach, Florida.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1993. Peter has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Marc Kaufman'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

December 21, 2011 - Present

MAXIM GROUP LLC

Office #1: 555 Washington Ave, Suite 320, Miami Beach, FL 33139
BD
CRD#: 120708
Miami Beach, FL
Past

August 4, 2006 - December 19, 2011

NOBLE CAPITAL MARKETS, INC.

BD
CRD#: 15768
BOCA RATON, FL
Past

June 30, 1998 - March 1, 1999

DALTON KENT SECURITIES GROUP, INC.

BD
CRD#: 38813
NEW YORK, NY
Past

October 10, 1996 - June 16, 1998

BARINGTON CAPITAL GROUP, L.P.

BD
CRD#: 29383
NEW YORK, NY
Past

July 21, 1995 - September 27, 1996

KENSINGTON WELLS INCORPORATED

BD
CRD#: 30570
Past

July 19, 1994 - July 26, 1995

DUKE & CO., INC.

BD
CRD#: 8035
NEW YORK, NY
Past

November 12, 1993 - January 26, 1994

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
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
California
(4/3/2012)
RR
Connecticut
(11/4/2013)
RR
Florida
(1/11/2012)
RR
Georgia
(8/5/2020)
RR
New York
(12/21/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 7/24/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/14/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/11/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/12/2016
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MAXIM PARTNERS LLCMEMBER
EVANS, TIPTON HAMLINCHIEF COMPLIANCE OFFICER6118339
FIORE, CHRISTOPHER JAMESCO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS2269479
GLASSBERG, LAWRENCE COOPERCO-HEAD OF INVESTMENT BANKING4813201
LAROSA, PAUL GEORGEHEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT1900695
MESSINGER, MICHAEL SPENCERMSP1403506
MURPHY, TIMOTHY GERARDFINOP/CFO1836629
SIEGEL, JAMES EDWARDGENERAL COUNSEL4490472
TELLER, CLIFFORD ADAMCHIEF EXECUTIVE OFFICER/CHAIRMAN4631188
VEERA, RITESH MOTILALCO-HEAD OF INVESTMENT BANKING4994814
VENDETTI, ANTHONY VINCENTDIRECTOR OF RESEARCH2574608
VITALE, WILLIAM CHRISTIANDIRECTOR OF TRADING2669953

Disclosures

Regulatory Event36
Arbitration1

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.

Company Information

MAXIM GROUP LLC

CRD#: 120708Miami Beach, FL 33139

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