MM
Monique Y. Mitnick
MAXIM GROUP
NEW YORK, NY 10022
CRD#: 4623304
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MM
Monique Yaffa MitnickMAXIM GROUP
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 and THINKEQUITY 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 9 firms and has passed the Series 63, Series 99TO, SIE, Series 21, Series 25 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Monique Mitnick
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Monique Yaffa Mitnick's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 10, 2015 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022BD
CRD#: 120708
NEW YORK, NY
Current
June 3, 2026 - Present
THINKEQUITY LLC
Office #1: 17 State Street 41st Floor, New York, NY, 10004BD
CRD#: 20996
NEW YORK, NY
Past
December 21, 2010 - September 2, 2015
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
June 9, 2010 - December 13, 2010
COLUMBUS ADVISORY GROUP, LTD.
BD
CRD#: 126331
NEW YORK, NY
Past
August 27, 2008 - March 31, 2009
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
March 22, 2007 - April 3, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
April 18, 2005 - March 16, 2007
VAN DER MOOLEN SPECIALISTS USA, LLC
BD
CRD#: 32034
NEW YORK, NY
Past
March 18, 2004 - March 14, 2005
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
November 12, 2003 - December 18, 2003
HARRISON SECURITIES, INC.
BD
CRD#: 14103
PORT WASHINGTON, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/3/2026)
RR
Alaska(6/3/2026)
RR
Arizona(6/3/2026)
RR
Arkansas(6/3/2026)
RR
California(6/3/2026)
RR
Colorado(6/3/2026)
RR
Connecticut(6/3/2026)
RR
Delaware(6/3/2026)
RR
District of Columbia(6/3/2026)
RR
Florida(6/3/2026)
RR
Georgia(6/3/2026)
RR
Hawaii(6/3/2026)
RR
Idaho(6/3/2026)
RR
Illinois(6/3/2026)
RR
Indiana(6/3/2026)
RR
Iowa(6/3/2026)
RR
Kansas(6/3/2026)
RR
Kentucky(6/3/2026)
RR
Louisiana(6/3/2026)
RR
Maine(6/3/2026)
RR
Maryland(6/3/2026)
RR
Massachusetts(6/3/2026)
RR
Michigan(6/3/2026)
RR
Minnesota(6/3/2026)
RR
Mississippi(6/3/2026)
RR
Missouri(6/3/2026)
RR
Montana(6/3/2026)
RR
Nebraska(6/3/2026)
RR
Nevada(6/3/2026)
RR
New Hampshire(6/3/2026)
RR
New Jersey(6/3/2026)
RR
New Mexico(6/3/2026)
RR
New York(9/10/2015)
RR
North Dakota(6/3/2026)
RR
Ohio(6/3/2026)
RR
Oklahoma(6/3/2026)
RR
Oregon(6/3/2026)
RR
Pennsylvania(6/3/2026)
RR
Puerto Rico(6/3/2026)
RR
Rhode Island(6/3/2026)
RR
South Carolina(6/3/2026)
RR
South Dakota(6/3/2026)
RR
Tennessee(6/3/2026)
RR
Texas(6/3/2026)
RR
Utah(6/3/2026)
RR
Vermont(6/3/2026)
RR
Virgin Islands(6/3/2026)
RR
Virginia(6/3/2026)
RR
Washington(6/3/2026)
RR
West Virginia(6/3/2026)
RR
Wisconsin(6/3/2026)
RR
Wyoming(6/3/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 21
Date: 6/20/2006
NYSE Front Line Specialist ClerkGeneral Industry/Product Exam
RR
Series 25
Date: 9/22/2005
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
FINRA
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TL
THINKEQUITY LLC
FORDHAM FINANCIAL MANAGEMENT, INC. | THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
17 State Street 41st Floor, New York, NY, 10004
Mailing Address
17 State Street 41st Floor, New York, NY, 10004
Phone number
(212) 732-8500
Established
Delaware since 08/13/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| NASH, KELLY | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 3017718 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
