David J. Ranaudo
Professional summary
David J Ranaudo is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2004. David has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David J Ranaudo's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2010 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022October 26, 2009 - January 28, 2010
HALLMARK INVESTMENTS, INC.
November 25, 2008 - April 15, 2009
SEVEN POINTS CAPITAL, LLC
May 5, 2008 - November 17, 2008
BROOKVILLE CAPITAL PARTNERS
April 3, 2007 - May 27, 2008
ADVANCED EQUITIES, INC.
November 9, 2006 - April 2, 2007
NATIONAL SECURITIES CORPORATION
September 9, 2004 - December 6, 2006
MAXIM GROUP 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
(5/2/2023)
(7/26/2011)
(7/26/2011)
(7/26/2011)
(7/26/2011)
(7/26/2011)
(3/28/2017)
(7/26/2011)
(7/26/2011)
(7/26/2011)
(7/26/2011)
(2/17/2010)
(7/27/2011)
(2/27/2025)
(7/26/2011)
(7/26/2011)
(7/26/2011)
(7/26/2011)
Exams
FINRA
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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