Rolando W. Springall
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.
Rolando Walter Springall, who also goes by Roland Walter Springall, was a registered financial professional .
Rolando is a previously registered financial professional and started their career in finance in 1996. Rolando had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2013 - January 7, 2014
MAXIM GROUP LLC
October 12, 2012 - March 1, 2013
ELARA SECURITIES, INC.
September 5, 2008 - October 7, 2008
SUMMIT SECURITIES GROUP LLC
March 7, 2007 - August 4, 2008
INTL FCSTONE CREDIT TRADING LLC
May 1, 2006 - August 4, 2006
HAPOALIM SECURITIES USA, INC.
March 22, 2006 - May 31, 2006
BULLTICK SECURITIES, LLC
March 8, 2006 - May 31, 2006
BULLTICK, LLC
June 26, 2001 - August 29, 2001
NEWOAK CAPITAL MARKETS LLC
June 22, 2000 - June 28, 2001
BANC OF AMERICA SECURITIES LLC
October 25, 1999 - January 4, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 1996 - August 17, 1999
ABN AMRO INCORPORATED
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
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
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.
