Andrew L. Brown
Professional summary
Andrew Landesman Brown, who also goes by Andrew Brown, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2007. Andrew has worked at 9 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Landesman Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 10, 2025 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022August 29, 2023 - May 1, 2024
PAVE SECURITIES, LLC
September 1, 2020 - March 14, 2023
CF SECURED, LLC
August 26, 2020 - March 14, 2023
CANTOR FITZGERALD & CO.
June 27, 2018 - August 1, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
October 19, 2017 - June 27, 2018
DRIVEWEALTH INSTITUTIONAL LLC
October 3, 2016 - June 21, 2017
APEX CLEARING CORPORATION
July 27, 2015 - September 6, 2016
RISE FINANCIAL SERVICES, LLC
August 6, 2007 - August 6, 2015
WELLS FARGO PRIME SERVICES, 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
(7/10/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional 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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