Monique Y. Mitnick
Professional summary
Monique Yaffa Mitnick, who also goes by Monique Mitnick, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Monique is registered as a RR (Registered Representative) and started their career in finance in 2003. Monique has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 21, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Monique Yaffa Mitnick's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2015 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022December 21, 2010 - September 2, 2015
AEGIS CAPITAL CORP.
June 9, 2010 - December 13, 2010
COLUMBUS ADVISORY GROUP, LTD.
August 27, 2008 - March 31, 2009
E*TRADE SECURITIES LLC
March 22, 2007 - April 3, 2008
LEHMAN BROTHERS INC.
April 18, 2005 - March 16, 2007
VAN DER MOOLEN SPECIALISTS USA, LLC
March 18, 2004 - March 14, 2005
GUNNALLEN FINANCIAL, INC
November 12, 2003 - December 18, 2003
HARRISON SECURITIES, 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
(9/10/2015)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 21
Date: 6/20/2006
NYSE Front Line Specialist ClerkSeries 25
Date: 9/22/2005
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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