Harriet L. Stewart
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.
Harriet Linda Stewart, who also goes by Harriet Stewart, was a registered financial professional .
Harriet is a previously registered financial professional and started their career in finance in 1969. Harriet had worked at 16 firms and has passed the SIE, PC 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
April 25, 2003 - May 11, 2020
MAXIM GROUP LLC
January 2, 2002 - April 24, 2003
OPPENHEIMER & CO. INC.
January 26, 1998 - January 2, 2002
JOSEPHTHAL & CO., INC.
February 17, 1995 - January 15, 1998
AUGMENT SECURITIES INC.
January 1, 1995 - February 9, 1995
OPPENHEIMER & CO. INC.
December 1, 1992 - January 1, 1995
REICH & CO., INC.
February 21, 1991 - December 1, 1992
REICH & CO., INC.
January 10, 1989 - January 30, 1991
R.H.DAMON & CO., INC.
January 12, 1985 - December 31, 1988
F.N. WOLF & CO., INC.
August 25, 1982 - January 11, 1985
ROONEY, PACE INC.
October 31, 1978 - September 3, 1982
BROADCHILD SECURITIES CORP.
November 21, 1975 - August 31, 1979
RICHARD FRANKLIN, INC.
April 15, 1974 - August 5, 1977
E. L. AARON & CO., INC.
July 2, 1973 - May 25, 1974
COLONIAL SECURITIES, INC.
July 17, 1972 - July 27, 1973
FILLMORE SECURITIES CORP.
June 3, 1971 - July 18, 1972
G. M. STANLEY & CO., INC.
May 12, 1969 - June 29, 1971
E L AARON & CO
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
PC
Date: 5/15/1992
AMEX Put and Call ExamSeries 1
Date: 10/18/1968
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 |
| 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
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.
