William Blume
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.
William Blume was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1966. William had worked at 12 firms and has passed the Series 63, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2002 - October 8, 2007
MAXIM GROUP LLC
June 1, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
July 13, 1993 - June 1, 1999
STUART, COLEMAN & CO., INC.
December 1, 1992 - May 27, 1993
REICH & CO., INC.
October 6, 1992 - December 1, 1992
REICH & CO., INC.
January 15, 1991 - September 22, 1992
DICKINSON & CO.
November 9, 1990 - December 31, 1990
SWARTWOOD, HESSE INC.
March 9, 1990 - October 31, 1990
REICH & CO., INC.
November 24, 1987 - January 27, 1990
J. T. MORAN & CO., INC.
October 7, 1987 - October 29, 1987
DOMESTIC ARBITRAGE GROUP, INC.
January 14, 1983 - August 1, 1987
GRUNTAL & CO., L.L.C.
December 29, 1982 - September 14, 1987
GRUNTAL & CO., L.L.C.
December 26, 1974 - January 10, 1983
MABON, NUGENT & CO.
May 2, 1966 - November 28, 1973
FLORSHEIM PASCUMA CAPITAL CORP
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
PC
Date: 5/1/1990
AMEX Put and Call ExamSeries 1
Date: 4/29/1966
Registered Representative ExaminationSeries 00
Date: 5/2/1974
General Securities Principal ExaminationCurrent 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.
