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FIRM PROFILE
Overview
MAXIM GROUP LLC is located at 300 Park Ave 16th Floor, New York, NY 10022 and was first established at New York, New York in 04/11/2002. After operating for 24 years, MAXIM GROUP LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of MAXIM GROUP LLC’s clients are individuals and 0% of their clients are high net worth individuals. MAXIM GROUP LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at MAXIM GROUP LLC are registered to handle securities or provide financial advice. The firm has 37 disclosures, 36 being regulatory events, 0 being client events, and 1 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access MAXIM GROUP LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at MAXIM GROUP LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for MAXIM GROUP LLC Comes From
Understanding the Statistics for MAXIM GROUP LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
300 Park Ave 16th Floor, New York, NY 10022
300 Park Ave 16th Floor, New York, NY 10022
Medium
(212) 895-3500
New York since 04/11/2002
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at MAXIM GROUP LLC
Salvatore Anthony Fradella
Andrew Thomas Grossman
Ronald Mark Birnbaum
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