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GM

Gregory R. Maxon

THL CAPITAL MARKETS
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 5374395
GM

Professional summary

Gregory Ross Maxon is a registered financial professional currently at THL CAPITAL MARKETS, LLC located in Boston, Massachusetts.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 2007. Gregory has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory Ross Maxon's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 27, 2022 - Present

THL CAPITAL MARKETS, LLC

Office #1: 100 Federal Street, Boston, MA 02110
BD
CRD#: 316511
BOSTON, MA
Past

October 1, 2008 - May 25, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

August 6, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Maine
(10/1/2025)
RR
Massachusetts
(3/1/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/3/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/10/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/5/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
THL CAPITAL MARKETS, LLC
FORT HILL CAPITAL MARKETS, LLC | THL CAPITAL MARKETS, LLC

CRD#: 316511 / SEC#: , 8-70807

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
100 Federal Street, Boston, MA 02110
Mailing Address
100 Federal Street, Boston, MA 02110
Phone number
(617) 227-1050
Established
Delaware since 07/30/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THL CAPITAL MARKETS MANAGER, LLCSOLE MEMBER
BUSH, SARAHCHIEF COMPLIANCE OFFICER5841363
FORTINO, ROBERT ANTHONYFINOP/PFO/POO1905741
MAXON, GREGORY ROSSPRESIDENT5374395

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.

Company Information

THL CAPITAL MARKETS, LLC

CRD#: 316511Boston, MA 02110

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