Harry Delf
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Harry Delf JR was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1969. Harry had worked at 10 firms and has passed the Series 63, SIE, Series 16 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2002 - December 14, 2020
MAXIM GROUP LLC
January 31, 2001 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
February 10, 1986 - January 31, 2001
HERZOG, HEINE, GEDULD, LLC
October 1, 1985 - October 23, 1985
GRUNTAL & CO., L.L.C.
January 2, 1980 - October 1, 1985
JII SECURITIES INC.
July 14, 1978 - January 7, 1980
BREAN MURRAY & CO., INC.
April 27, 1975 - August 11, 1978
CIBC WORLD MARKETS CORP.
January 4, 1973 - April 30, 1975
STEINDECKER & CO
August 21, 1972 - January 31, 1973
E. L. HARDIN & COMPANY, INC.
August 12, 1969 - September 20, 1974
ABRAHAM & CO., INC.
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 1
Date: 1/9/1958
Registered Representative ExaminationCurrent 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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