Frank Stalaj
Professional summary
Frank Stalaj is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Frank is registered as a RR (Registered Representative) and started their career in finance in 2001. Frank has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank Stalaj's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2017 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022April 7, 2015 - December 22, 2016
LADENBURG THALMANN & CO. INC.
March 3, 2014 - March 23, 2015
FBN SECURITIES, INC.
January 7, 2009 - May 21, 2013
BENJAMIN & JEROLD BROKERAGE I, LLC
March 1, 2006 - December 5, 2008
RAYMOND C. FORBES & CO., INC.
January 4, 2005 - February 17, 2006
BASELINE SECURITIES, INC.
July 14, 2004 - October 1, 2004
ABN AMRO CLEARING USA LLC
March 15, 2004 - July 12, 2004
HARPER & DOLAN, L.L.C.
February 20, 2004 - April 2, 2004
FJG SECURITIES INC.
September 18, 2002 - February 19, 2004
GERMAN, FREDERICK JAY
April 11, 2001 - August 8, 2002
TRADITION SECURITIES AND DERIVATIVES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/7/2020)
(1/4/2017)
(4/7/2020)
Exams
Series 57TO
Date: 12/7/2021
Securities Trader ExamSeries 7A
Date: 4/28/2004
Floor Broker Representative ExamSeries 25
Date: 8/5/2003
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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