Maxwell G. Dale
Professional summary
Maxwell Granger Dale is a registered financial professional currently at JEFFERIES LLC located in New York, New York.
Maxwell is registered as a RR (Registered Representative) and started their career in finance in 1998. Maxwell has worked at 6 firms and has passed the Series 63, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Maxwell Granger Dale's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 25, 2022 - Present
JEFFERIES LLC
Office #1: 520 Madison Avenue, New York, NY 10022May 23, 2016 - April 13, 2022
CITIGROUP GLOBAL MARKETS INC.
April 24, 2001 - February 1, 2012
DEUTSCHE BANK SECURITIES INC.
March 29, 2000 - April 20, 2001
ROBERTSON STEPHENS, INC.
July 20, 1999 - March 30, 2000
COWEN AND COMPANY
September 1, 1998 - June 4, 1999
CITIGROUP GLOBAL MARKETS INC.
March 19, 1998 - September 1, 1998
SALOMON BROTHERS 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
Exams
FINRA
NYSE American LLC
New York Stock Exchange
Current Firm
JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
Red Flags
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