William P. Rosemond
Professional summary
William Patrick Rosemond, who also goes by Liam Rosemond, is a registered financial advisor currently at MAXIM FINANCIAL ADVISORS LLC located in New York, New York and MAXIM GROUP LLC located in New York, New York.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. William has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Patrick Rosemond's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2017 - Present
MAXIM FINANCIAL ADVISORS LLC
Office #1: 300 Park Ave 16th Fl, New York, NY 10022October 23, 2002 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022December 18, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
October 13, 1995 - December 18, 2000
GKN SECURITIES CORP.
June 16, 1994 - November 7, 1995
A. R. BARON & CO., INC.
March 24, 1994 - June 14, 1994
D. H. BLAIR & CO., INC.
Primary Firm SEC Registration
MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/10/2009)
(10/23/2002)
(7/28/2021)
(2/23/2005)
(7/19/2019)
(11/20/2020)
(10/25/2002)
(1/18/2019)
(6/5/2018)
(12/3/2012)
(7/28/2021)
(3/18/2008)
(2/9/2009)
(10/23/2002)
(11/19/2020)
(1/30/2009)
(7/27/2007)
(7/27/2021)
(8/6/2008)
(7/28/2021)
(10/23/2002)
(11/1/2017)
(10/23/2002)
(8/6/2021)
(2/11/2015)
(4/13/2021)
(2/2/2009)
(3/18/2008)
(8/2/2021)
(7/29/2021)
(10/21/2025)
(2/2/2009)
(7/28/2021)
(7/27/2021)
(3/18/2008)
(3/17/2008)
(3/4/2024)
Exams
FINRA
Nasdaq Stock Market
Current Firm
MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
Contact information
SEC notice filing (24 States and Territories)
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 | ||
| 09/17/2024 | ||
| 12/19/2023 | ||
| 01/24/2023 |
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.
