Jo-ann Ort
Professional summary
Jo-ann Ort, who also goes by Jo-ann Auriemma, Joann Ort, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Jo-ann is registered as a RR (Registered Representative) and started their career in finance in 1996. Jo-ann has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jo-ann Ort's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 27, 2012 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022May 18, 2009 - January 31, 2012
TICONDEROGA SECURITIES LLC
August 10, 2007 - June 3, 2009
CANACCORD GENUITY SECURITIES LLC
November 13, 2006 - August 10, 2007
COLLINS STEWART INC.
January 8, 2005 - December 5, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
December 9, 2003 - January 21, 2005
BURLINGTON CAPITAL MARKETS INC.
October 10, 2001 - December 8, 2003
WEXFORD CLEARING SERVICES, LLC
April 26, 1999 - July 16, 2001
DALTON KENT SECURITIES GROUP, INC.
December 16, 1998 - April 1, 1999
UBS FINANCIAL SERVICES INC.
March 12, 1996 - November 9, 1998
STUART, COLEMAN & CO., 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
(1/27/2012)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/24/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
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
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