John P. Palmieri
Professional summary
John P Palmieri is a registered financial professional currently at MAXIM GROUP LLC located in Red Bank, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 2000. John has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John P Palmieri's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 25, 2012 - Present
MAXIM GROUP LLC
Office #1: 68 White Street 2nd Floor, Red Bank, NJ 07701August 14, 2009 - January 26, 2012
TICONDEROGA SECURITIES LLC
August 10, 2007 - August 17, 2009
CANACCORD GENUITY SECURITIES LLC
November 14, 2006 - August 10, 2007
COLLINS STEWART INC.
January 8, 2005 - December 5, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
June 17, 2002 - January 21, 2005
BURLINGTON CAPITAL MARKETS INC.
September 20, 2000 - June 24, 2002
APEX CLEARING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/9/2012)
(1/25/2012)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/17/2000
Limited Representative-Equity Trader ExamFINRA
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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