Steve Yakubov
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steve Yakubov, who also goes by Steve Jacobs, was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 2009. Steve had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2019 - November 23, 2020
MAXIM FINANCIAL ADVISORS LLC
October 17, 2018 - October 9, 2020
MAXIM GROUP LLC
August 22, 2018 - October 10, 2018
NETWORK 1 FINANCIAL SECURITIES INC.
August 15, 2016 - April 16, 2018
J.P. MORGAN SECURITIES LLC
October 10, 2011 - November 11, 2014
BNP PARIBAS SECURITIES CORP.
October 8, 2010 - October 6, 2011
BARCLAYS CAPITAL INC.
February 26, 2009 - September 2, 2010
BARCLAYS CAPITAL INC.
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
Exams
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.
