Douglas F. Wicklund
Professional summary
Douglas Forrest Wicklund Jr, who also goes by Douglas Forrest Wicklund Jr, Douglas Forrest Wicklund Jr., Douglas Forrest Wicklund, is a registered financial professional currently at MAXIM GROUP LLC located in Miami Beach, Florida.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 2002. Douglas has worked at 12 firms and has passed the Series 63, Series 66, SIE, Series 79, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Forrest Wicklund Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 10, 2024 - Present
MAXIM GROUP LLC
Office #1: 555 Washington Ave, Suite 320, Miami Beach, FL 33139June 10, 2024 - November 1, 2024
HYDE PARK CAPITAL ADVISORS, LLC
March 8, 2022 - February 7, 2024
MESIROW FINANCIAL, INC.
December 3, 2021 - March 10, 2022
SUNDIAL GROUP, LLC
July 8, 2020 - November 5, 2021
OPPENHEIMER & CO. INC.
November 2, 2016 - June 22, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 13, 2015 - October 4, 2016
JEFFERIES LLC
June 24, 2013 - March 11, 2015
ROBERT W. BAIRD & CO. INCORPORATED
August 14, 2012 - June 25, 2013
KEYBANC CAPITAL MARKETS INC.
May 18, 2006 - August 2, 2006
BMO CAPITAL MARKETS CORP.
November 29, 2004 - March 14, 2006
TRUIST SECURITIES, INC.
August 14, 2002 - June 4, 2003
MORGAN STANLEY DW 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
(12/11/2024)
Exams
FINRA
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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Company Information
MAXIM GROUP LLC
CRD#: 120708Miami Beach, FL 33139TRUST BUT VERIFY
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