John W. Klokel
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 Wallace Klokel was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1974. John had worked at 11 firms and has passed the Series 63, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2013 - March 5, 2013
MAXIM GROUP LLC
February 9, 2011 - July 6, 2012
ROCKFLEET FINANCIAL SERVICES, INC
March 15, 2010 - November 22, 2010
ADVISORS ASSET MANAGEMENT, INC.
November 13, 2007 - December 23, 2009
BELLE HAVEN INVESTMENTS, L.P.
July 28, 1998 - September 12, 2007
GMS GROUP
February 1, 1990 - July 8, 1998
GREENWICH PARTNERS, LLC
March 18, 1987 - October 3, 1988
G.I.M.B. MUNICIPAL SECURITIES BROKER
August 17, 1983 - February 17, 1987
IICC - TRADECO, INC.
January 22, 1982 - March 30, 1987
O'BRIEN & SHEPARD, INC.
September 9, 1977 - October 22, 1981
HARTFIELD, TITUS & DONNELLY, LLC
April 1, 1974 - October 3, 1977
MABON, NUGENT & CO.
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 1
Date: 3/25/1974
Registered Representative 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.
