Derrick J. Reimer
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.
Derrick John Reimer was a registered financial professional .
Derrick is a previously registered financial professional and started their career in finance in 1998. Derrick had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 37, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2017 - September 18, 2018
MAXIM GROUP LLC
August 19, 2015 - March 28, 2017
STERNE, AGEE & LEACH, INC.
March 20, 2015 - June 16, 2015
LAURENTIAN CAPITAL (USA) INC
June 21, 2006 - July 17, 2012
VIII CAPITAL CORP.
June 16, 2005 - May 4, 2006
THOMAS WEISEL PARTNERS (USA) INC.
October 7, 2002 - May 11, 2005
RESEARCH CAPITAL USA INC.
March 9, 2002 - September 10, 2002
MORGAN KEEGAN & COMPANY, LLC
January 4, 2001 - March 19, 2002
WACHOVIA SECURITIES, INC.
March 12, 1999 - October 20, 2000
RESEARCH CAPITAL USA INC.
April 1, 1998 - February 25, 1999
HSBC SECURITIES (USA) 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
Series 55
Date: 7/16/2001
Limited Representative-Equity Trader ExamSeries 37
Date: 3/30/1998
Canada Module of the General Securities Registered Representative (With Options Questions)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.
