JM
John J. Maxwell
SEAPORT GLOBAL SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 4692852
JM
Professional summary
John Jacob Maxwell, who also goes by Jake Maxwell, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 2003. John has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jake Maxwell
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 John Jacob Maxwell'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
March 22, 2011 - Present
SEAPORT GLOBAL SECURITIES LLC
Office #1: 360 Madison Ave 22nd Floor, New York, NY 10017Office #2: 407 Lincoln Road Suite 502, Miami Beach, FL 33139BD
CRD#: 116270
New York, NY
Past
February 25, 2008 - April 4, 2011
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
SAVANNAH, GA
Past
September 3, 2003 - February 15, 2008
WAMU CAPITAL CORP.
BD
CRD#: 119069
NEW YORK, 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(3/22/2011)
RR
Alaska(3/22/2011)
RR
Arizona(3/22/2011)
RR
Arkansas(3/22/2011)
RR
California(3/22/2011)
RR
Colorado(3/22/2011)
RR
Connecticut(3/22/2011)
RR
Delaware(3/22/2011)
RR
District of Columbia(3/22/2011)
RR
Florida(3/22/2011)
RR
Georgia(3/22/2011)
RR
Hawaii(5/3/2011)
RR
Idaho(3/22/2011)
RR
Illinois(3/22/2011)
RR
Indiana(3/22/2011)
RR
Iowa(3/22/2011)
RR
Kansas(3/22/2011)
RR
Kentucky(3/22/2011)
RR
Louisiana(3/22/2011)
RR
Maine(3/22/2011)
RR
Maryland(3/22/2011)
RR
Massachusetts(3/22/2011)
RR
Michigan(3/22/2011)
RR
Minnesota(3/22/2011)
RR
Mississippi(3/22/2011)
RR
Missouri(3/22/2011)
RR
Montana(3/22/2011)
RR
Nebraska(3/22/2011)
RR
Nevada(3/22/2011)
RR
New Hampshire(3/22/2011)
RR
New Jersey(3/22/2011)
RR
New Mexico(3/22/2011)
RR
New York(3/22/2011)
RR
North Carolina(3/22/2011)
RR
North Dakota(3/22/2011)
RR
Ohio(3/23/2011)
RR
Oklahoma(3/22/2011)
RR
Oregon(3/22/2011)
RR
Pennsylvania(3/22/2011)
RR
Rhode Island(3/22/2011)
RR
South Carolina(3/22/2011)
RR
South Dakota(3/22/2011)
RR
Tennessee(3/22/2011)
RR
Texas(3/22/2011)
RR
Utah(3/22/2011)
RR
Vermont(3/22/2011)
RR
Virginia(3/22/2011)
RR
Washington(3/22/2011)
RR
West Virginia(3/22/2011)
RR
Wisconsin(3/22/2011)
RR
Wyoming(3/22/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
