DS
David A. Schuster
MAXIM GROUP LLC
Woodbury, NY 11797
Some features on this profile are disabled
CRD#: 2842852
DS
Professional summary
David Abraham Schuster, who also goes by David Schuster, is a registered financial professional currently at MAXIM GROUP LLC located in Woodbury, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Schuster
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Abraham Schuster's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 26, 2007 - Present
MAXIM GROUP LLC
Office #1: 100 Crossways Park Drive West - Suite 207, Woodbury, NY 11797BD
CRD#: 120708
Woodbury, NY
Past
October 17, 1997 - November 27, 2007
GILFORD SECURITIES INCORPORATED
BD
CRD#: 8076
MELVILLE, NY
Past
January 13, 1997 - October 15, 1997
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
BROOKLYN, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/19/2014)
RR
California(11/26/2007)
RR
Colorado(12/5/2007)
RR
Florida(11/26/2007)
RR
Georgia(11/26/2007)
RR
Illinois(11/26/2007)
RR
Indiana(2/11/2019)
RR
Iowa(6/25/2019)
RR
Kentucky(2/19/2019)
RR
Michigan(2/4/2015)
RR
Nebraska(10/20/2021)
RR
Nevada(5/31/2022)
RR
New Jersey(11/26/2007)
RR
New Mexico(12/14/2022)
RR
New York(11/26/2007)
RR
North Carolina(11/26/2007)
RR
Ohio(11/26/2007)
RR
Pennsylvania(11/26/2007)
RR
Texas(5/5/2016)
RR
Utah(2/21/2018)
RR
Wisconsin(11/26/2007)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MG
MAXIM GROUP LLC
M-VEST (A WHOLLY OWNED DIVISION OF MAXIM GROUP) | MAXIM MERCHANT CAPITAL (A WHOLLY OWNED DIVISION OF MAXIM GROUP | MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
300 Park Ave 16th Floor, New York, NY 10022
Mailing Address
300 Park Ave 16th Floor, New York, NY 10022
Phone number
(212) 895-3500
Established
New York since 04/11/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
