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Scott Rochlin

Maxim Financial Advisors LLC

Woodbury, 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 2021-07-23
FL RA APPROVED 2017-08-31
CT RA APPROVED 2017-08-07
NJ RA APPROVED 2014-03-04
  • NY RA
    APPROVED
    Since 2021-07-23
  • FL RA
    APPROVED
    Since 2017-08-31
  • CT RA
    APPROVED
    Since 2017-08-07
  • NJ RA
    APPROVED
    Since 2014-03-04

Branch Locations

20 Crossways Park Drive North Suite 304, Woodbury, NY 11797 • 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 Woodbury NY 10/2002 Present
Maxim Financial Advisors Llc Woodbury NY 02/2006 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-11-15
S63 Uniform Securities Agent State Law Examination 1999-11-04
  • S65 Uniform Investment Adviser Law Examination
    2002-11-15
  • S63 Uniform Securities Agent State Law Examination
    1999-11-04

View on SEC IAPD

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VANDERBILT ADVISORY SERVICES · WOODBURY, NY
CONSOLIDATED PORTFOLIO REVIEW CORP · WOODBURY, NY
FUSION FAMILY WEALTH, LLC · WOODBURY, NY
MML INVESTORS SERVICES, LLC · Woodbury, NY
WELLS FARGO CLEARING SERVICES, LLC · WOODBURY, NY
MML INVESTORS SERVICES, LLC · Woodbury, NY
MG PLANNING SERVICES, INC. · WOODBURY, NY
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