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ML

Maximilian S. Lowenthal

HASI SECURITIES LLC
Annapolis, MD 21401
Some features on this profile are disabled
CRD#: 5934956
ML

Professional summary

Maximilian Stern Lowenthal is a registered financial professional currently at HASI SECURITIES LLC located in Annapolis, Maryland.

Maximilian is registered as a RR (Registered Representative) and started their career in finance in 2019. Maximilian has worked at 2 firms and has passed the Series 63, Series 79TO, Series 82TO and SIE 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 Maximilian Stern Lowenthal'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

June 28, 2025 - Present

HASI SECURITIES LLC

Office #1: One Park Place Suite 200, Annapolis, MD 21401
BD
CRD#: 154669
Annapolis, MD
Past

October 3, 2019 - January 11, 2021

ASTRIS SECURITIES, LLC

BD
CRD#: 300588
WASHINGTON, DC

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
California
(8/6/2025)
RR
Maryland
(7/7/2025)
RR
New York
(8/5/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/2/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/27/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 6/19/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 2/15/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HASI SECURITIES LLC
HANNON ARMSTRONG SECURITIES, LLC | HASI SECURITIES, LLC | HASI SECURITIES LLC

CRD#: 154669 / SEC#: , 8-68659

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

Main Address
One Park Place Suite 200, Annapolis, MD 21401
Mailing Address
One Park Place Suite 200, Annapolis, MD 21401
Phone number
(410) 571-6167
Established
Maryland since 07/22/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HAT HOLDINGS I LLCSOLE MEMBER
KASKY, CAROLYN JOCCO, FINOP, CFO, PRINCIPAL FINANCIAL OFFICER1189697
MCMAHON, DANIEL KEVINCHIEF EXECUTIVE OFFICER3038849
MCMAHON, DANIEL KEVINCOO, MANAGING PRINCIPAL, PRINCIPAL OPERATIONS OFFICER3038849

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

HASI SECURITIES LLC

CRD#: 154669Annapolis, MD 21401

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