John F. Novak
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 Francis Novak, who also goes by Novak Francis John Francis, John Francis Novak, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 11 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2024 - December 16, 2024
MAXIM GROUP LLC
August 18, 2023 - March 27, 2024
CLEAR STREET LLC
April 9, 2021 - July 24, 2023
GUGGENHEIM SECURITIES, LLC
May 7, 2018 - March 29, 2021
CANTOR FITZGERALD & CO.
September 8, 2015 - May 18, 2018
JEFFERIES LLC
October 6, 2011 - September 16, 2015
CITIGROUP GLOBAL MARKETS INC.
October 1, 2008 - October 28, 2011
J.P. MORGAN SECURITIES LLC
February 27, 2002 - October 1, 2008
J.P. MORGAN SECURITIES INC.
April 3, 2001 - February 26, 2002
THOMAS WEISEL PARTNERS LLC
October 22, 1996 - April 9, 2001
JPMSI
April 7, 1994 - April 12, 1994
GRUNTAL & CO., L.L.C.
April 7, 1994 - October 31, 1996
CITIGROUP GLOBAL MARKETS INC.
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
Series 99TO
Date: 12/13/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/31/2010
Limited Representative-Equity Trader ExamCurrent 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.
