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Patricia Serafin

Maxim Financial Advisors LLC

New York, NY

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Current Employers
Maxim Financial Advisors Llc

300 Park Ave 16Th Fl, New York, NY 10022 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-09
NJ RA APPROVED 2016-07-25
  • NY RA
    APPROVED
    Since 2021-08-09
  • NJ RA
    APPROVED
    Since 2016-07-25

Branch Locations

300 Park Ave 16Th Fl, New York, NY 10022 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Maxim Group Llc New York NY 10/2007 Present
Maxim Financial Advisors New York NY 10/2007 Present
  • 10/2007 → Present
    Maxim Group Llc
    New York, NY
  • 10/2007 → Present
    Maxim Financial Advisors
    New York, NY
Previous Registrations
  • 2007-09-27 → 2007-10-09
    Chase Investment Services Corp.
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-22
S63 Uniform Securities Agent State Law Examination 2001-02-16
  • S66 Uniform Combined State Law Examination
    2007-09-22
  • S63 Uniform Securities Agent State Law Examination
    2001-02-16
Other Names
  • Patricia Dever
  • Patty Serafin

View on SEC IAPD

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P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
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CRESTVIEW PARTNERS · NEW YORK, NY
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