Jeremy Pearlman
Professional summary
Jeremy Pearlman is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Jeremy is registered as a RR (Registered Representative) and started their career in finance in 2009. Jeremy has worked at 2 firms and has passed the Series 63, Series 66, Series 87, SIE, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeremy Pearlman's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 18, 2023 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022December 22, 2009 - June 29, 2010
WELLS FARGO CLEARING SERVICES, LLC
December 4, 2009 - June 29, 2010
WELLS FARGO CLEARING 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
(9/26/2024)
Exams
Series 7TO
Date: 10/16/2023
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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