Abraham I. Schloss
Professional summary
Abraham Irving Schloss, who also goes by Abe Schloss, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Abraham is registered as a RR (Registered Representative) and started their career in finance in 1968. Abraham has worked at 9 firms and has passed the Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Abraham Irving Schloss's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2002 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022January 31, 2001 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
July 12, 1988 - January 31, 2001
HERZOG, HEINE, GEDULD, LLC
April 13, 1988 - July 5, 1988
OPPENHEIMER & CO. INC.
March 30, 1988 - April 13, 1988
FAHNESTOCK INTERNATIONAL INC.
February 23, 1979 - March 15, 1988
MOSELEY SECURITIES CORPORATION
June 14, 1976 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
April 5, 1973 - July 15, 1976
C. B. RICHARD, ELLIS & CO.
February 6, 1968 - April 30, 1973
KUHNS BROTHERS & LAIDLAW, 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
(10/23/2002)
(10/23/2002)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 8/9/1965
Registered Representative ExaminationFINRA
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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