Dominick S. Iadicicco
Professional summary
Dominick Sam Iadicicco is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Dominick is registered as a RR (Registered Representative) and started their career in finance in 2001. Dominick has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dominick Sam Iadicicco's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 27, 2025 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022November 23, 2020 - March 31, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 2, 2020 - November 23, 2020
HEROLD & LANTERN INVESTMENTS, INC.
June 20, 2017 - November 5, 2020
BERNARD HEROLD & CO., INC.
May 4, 2016 - June 14, 2016
FORESTERS FINANCIAL SERVICES, INC.
July 22, 2015 - December 8, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 2003 - February 19, 2009
SCOTTRADE, INC.
February 13, 2002 - March 12, 2002
EASTBROOK CAPITAL GROUP LLC
October 10, 2001 - December 21, 2001
NEBRASKA HUDSON COMPANY, 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
(3/27/2025)
Exams
FINRA
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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