Edward J. Shopkorn
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.
Edward Jay Shopkorn was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1971. Edward had worked at 6 firms and has passed the Series 63, Series 55, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - May 19, 2014
MAXIM GROUP LLC
November 2, 2009 - January 4, 2012
FIRST NEW YORK SECURITIES L.L.C.
January 27, 2005 - November 2, 2009
SCHOTTENFELD GROUP LLC
February 26, 2003 - January 27, 2005
FIRST NEW YORK SECURITIES L.L.C.
January 7, 2002 - February 27, 2003
LADENBURG THALMANN & CO. INC.
November 12, 1996 - January 2, 2002
FIRST NEW YORK SECURITIES L.L.C.
November 13, 1992 - April 8, 1996
LADENBURG THALMANN & CO. INC.
April 30, 1991 - November 25, 1992
INTESA SANPAOLO IMI SECURITIES CORP.
August 2, 1971 - April 30, 1991
MABON, NUGENT & CO.
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: 10/1/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 7/29/1971
Registered Representative ExaminationSeries 40
Date: 3/31/1977
Registered Principal ExaminationCurrent 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.
