Mario W. Leite
Professional summary
Mario Wayne Leite, who also goes by Mario Leite, is a registered financial professional currently at MAXIM GROUP LLC located in Miami Beach, Florida.
Mario is registered as a RR (Registered Representative) and started their career in finance in 2006. Mario has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mario Wayne Leite's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2019 - Present
MAXIM GROUP LLC
Office #1: 555 Washington Ave, Suite 320, Miami Beach, FL 33139May 13, 2020 - October 15, 2021
FINPOSTFIN LLC
January 2, 2018 - January 30, 2019
B. RILEY SECURITIES, INC.
February 29, 2008 - August 30, 2011
RBC CAPITAL MARKETS, LLC
June 12, 2006 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
February 24, 2006 - July 5, 2006
NEEDHAM & COMPANY, 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
(8/23/2021)
(1/8/2019)
Exams
Series 7TO
Date: 11/1/2019
General Securities Representative 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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Company Information
MAXIM GROUP LLC
CRD#: 120708Miami Beach, FL 33139TRUST BUT VERIFY
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