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MS

Maximilian N. Sodi

LIONTREE ADVISORS LLC
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 7779572
MS

Professional summary

Maximilian Noel Sodi is a registered financial professional currently at LIONTREE ADVISORS LLC located in San Francisco, California.

Maximilian is registered as a RR (Registered Representative) and started their career in finance in 2023. Maximilian has worked at 1 firm and has passed the Series 79TO 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 Noel Sodi'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 6, 2023 - Present

LIONTREE ADVISORS LLC

Office #1: 535 Mission Street Suite 1150, San Francisco, CA 94105
BD
CRD#: 164399
San Francisco, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 10/6/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/20/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LA
LIONTREE ADVISORS LLC
AB ADVISORS GROUP LLC | LIONTREE ADVISORS LLC

CRD#: 164399 / SEC#: , 8-69097

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

Main Address
745 Fifth Avenue 15th Floor, New York, NY 10151
Mailing Address
745 Fifth Avenue 15th Floor, New York, NY 10151
Phone number
(212) 644-4200
Established
Delaware since 05/11/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 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#
LIONTREE ADVISORY HOLDINGS LLCMEMBER
BOURKOFF, ARYEH BENJAMINCHIEF EXECUTIVE OFFICER2684739
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
JOHNSON, KRISTIN HAZEN MS.CHIEF COMPLIANCE OFFICER5625115
PARISE, JANICE DRUCFO/FINOP2338583
STENZLER, EHREN BRYANTMANAGING PARTNER2939347

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

LIONTREE ADVISORS LLC

CRD#: 164399San Francisco, CA 94105

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