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SP

Stephen B. Polsinelli

MAXIM GROUP LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 6990605
SP

Professional summary

Stephen Biagio Polsinelli, who also goes by Stephen Biagio Polsinelli, Stephen Polsinelli, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2018. Stephen has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Biagio Polsinelli | Stephen Polsinelli

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.
MAXIM FINANCIAL ADVISORS LLC. I AM AN EMPLOYEE OF THE ENTITY REFERENCED ABOVE, AN INVESTMENT ADVISOR LOCATED IN NEW YORK WHICH IS AFFILIATED WITH MAXIM GROUP. YES, THIS IS AN INVESTMENT RELATED BUSINESS. I STARTED WORKING HERE 07/22/2019. AS AN INVESTMENT ADVISOR REPRESENTATIVE/ASSOCIATED PERSON, I PROVIDE INVESTMENT ADVISORY SERVICES AND/OR ASSIST IN ADMINISTRATION OF THIS BUSINESS. I SPEND APPROXIMATELY 5 HOURS/MONTH AT THIS POSITION, ALL DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Biagio Polsinelli's CRS (Customer Relationship Summary).
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

October 7, 2022 - Present

MAXIM GROUP LLC

Office #1: 300 Park Ave 16th Floor, New York, NY 10022
BD
CRD#: 120708
New York, NY
Past

July 24, 2019 - March 17, 2022

MAXIM FINANCIAL ADVISORS LLC

RIA
CRD#: 139366
NEW YORK, NY
Past

July 22, 2019 - March 17, 2022

MAXIM GROUP LLC

BD
CRD#: 120708
WOODBURY, NY
Past

September 24, 2018 - June 3, 2019

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
MIAMI, FL

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
New York
(10/7/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/29/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

MG
MAXIM GROUP LLC
M-VEST (A WHOLLY OWNED DIVISION OF MAXIM GROUP) | MAXIM MERCHANT CAPITAL (A WHOLLY OWNED DIVISION OF MAXIM GROUP | MAXIM GROUP LLC

CRD#: 120708 / SEC#: , 8-65337

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

Main Address
300 Park Ave 16th Floor, New York, NY 10022
Mailing Address
300 Park Ave 16th Floor, New York, NY 10022
Phone number
(212) 895-3500
Established
New York since 04/11/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MAXIM PARTNERS LLCMEMBER
EVANS, TIPTON HAMLINCHIEF COMPLIANCE OFFICER6118339
FIORE, CHRISTOPHER JAMESCO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS2269479
GLASSBERG, LAWRENCE COOPERCO-HEAD OF INVESTMENT BANKING4813201
LAROSA, PAUL GEORGEHEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT1900695
MESSINGER, MICHAEL SPENCERMSP1403506
MURPHY, TIMOTHY GERARDFINOP/CFO1836629
SIEGEL, JAMES EDWARDGENERAL COUNSEL4490472
TELLER, CLIFFORD ADAMCHIEF EXECUTIVE OFFICER/CHAIRMAN4631188
VEERA, RITESH MOTILALCO-HEAD OF INVESTMENT BANKING4994814
VENDETTI, ANTHONY VINCENTDIRECTOR OF RESEARCH2574608
VITALE, WILLIAM CHRISTIANDIRECTOR OF TRADING2669953

Disclosures

Regulatory Event36
Arbitration1

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

MAXIM GROUP LLC

CRD#: 120708New York, NY 10022

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