Maureen Cruz
Professional summary
Maureen Cruz, who also goes by Maureen Brenes, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Maureen is registered as a RR (Registered Representative) and started their career in finance in 2007. Maureen has worked at 4 firms and has passed the Series 11 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Maureen Cruz's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2014 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022February 26, 2009 - February 25, 2014
HFP CAPITAL MARKETS LLC
February 9, 2008 - March 23, 2009
DAWSON JAMES SECURITIES, INC.
November 27, 2007 - February 8, 2008
CAPITAL GROWTH FINANCIAL, 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
Exams
Series 11
Date: 11/26/2007
Assistant Representative-Order Processing Qualification ExamFINRA
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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