Mitchell S. Martin
Professional summary
Mitchell Spencer Martin, who also goes by Mitchell Martin, is a registered financial professional currently at MAXIM GROUP LLC located in Red Bank, New Jersey.
Mitchell is registered as a RR (Registered Representative) and started their career in finance in 2000. Mitchell has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mitchell Spencer Martin's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 28, 2008 - Present
MAXIM GROUP LLC
Office #1: 68 White Street 2nd Floor, Red Bank, NJ 07701April 18, 2007 - April 24, 2008
HUDSON SECURITIES,INC.
October 1, 2000 - September 16, 2003
FIRST HUDSON FINANCIAL GROUP, 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
(1/6/2016)
(5/28/2008)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/3/2007
Limited Representative-Equity Trader ExamSeries 7A
Date: 7/31/2002
Floor Broker Representative ExamSeries 25
Date: 7/11/2000
NYSE Trading Assistant 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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