Brian Robertson
Professional summary
Brian Robertson, who also goes by Brian Matthew Robertson, is a registered financial advisor currently at MAXIM FINANCIAL ADVISORS LLC located in New York, New York and MAXIM GROUP LLC located in New York, New York.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brian has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian Robertson's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2018 - Present
MAXIM FINANCIAL ADVISORS LLC
Office #1: 300 Park Ave 16th Fl, New York, NY 10022May 21, 2018 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022January 3, 2011 - June 14, 2018
LAIDLAW WEALTH MANAGEMENT LLC
October 27, 2010 - June 14, 2018
LAIDLAW & COMPANY (UK) LTD.
January 13, 2010 - November 16, 2010
AEGIS CAPITAL CORP.
January 11, 2010 - November 16, 2010
AEGIS CAPITAL CORP.
June 1, 2009 - January 21, 2010
MORGAN STANLEY
January 12, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 11, 2004 - January 26, 2007
CASIMIR CAPITAL L.P.
Primary Firm SEC Registration
MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/21/2018)
(5/21/2018)
(5/21/2018)
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(5/21/2018)
(5/21/2018)
(5/21/2018)
(6/16/2025)
(6/18/2025)
(5/21/2018)
(5/21/2018)
(5/21/2018)
(5/21/2018)
(5/24/2018)
(5/21/2018)
(5/21/2018)
(5/31/2018)
(5/21/2018)
(11/29/2021)
(5/21/2018)
(7/18/2024)
(5/21/2018)
(5/21/2018)
(5/21/2018)
(5/21/2018)
(5/21/2018)
(5/21/2018)
(11/28/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
MAXIM FINANCIAL ADVISORS LLC
CRD#: 139366 / SEC#: 801-66147
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 753 |
| AUM (Assets Under Management) | $ 396,466,473 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 09/17/2024 | ||
| 12/19/2023 | ||
| 01/24/2023 |
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.
