Mazyar Yaghmaie
Professional summary
Mazyar Yaghmaie, who also goes by Yaz Yaghmaie, is a registered financial professional currently at MAXIM GROUP LLC located in Stamford, Connecticut.
Mazyar is registered as a RR (Registered Representative) and started their career in finance in 1997. Mazyar has worked at 7 firms and has passed the Series 65, 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 Mazyar Yaghmaie's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 18, 2025 - Present
MAXIM GROUP LLC
Office #1: 700 Canal Street, Stamford, CT 06902August 2, 2019 - July 21, 2025
PIPER SANDLER & CO.
May 21, 2001 - August 2, 2019
WEEDEN & CO.L.P.
October 8, 1998 - May 21, 2001
KNIGHT CAPITAL AMERICAS, L.P.
June 26, 1997 - September 30, 1998
PRUDENTIAL EQUITY GROUP, LLC
March 19, 1997 - April 18, 1997
CIBC WORLD MARKETS CORP.
March 19, 1997 - June 20, 1997
UBS FINANCIAL SERVICES 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
(8/18/2025)
(11/4/2025)
(8/18/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/20/1999
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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