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Adam Ian Wachtel

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 2021-07-29
NJ RA APPROVED 2019-01-04
  • NY RA
    APPROVED
    Since 2021-07-29
  • NJ RA
    APPROVED
    Since 2019-01-04

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 11/2008 06/2021
Maxim Financial Advisors New York NY 11/2008 Present
Maxim Group Llc Miami FL 06/2021 Present
  • 11/2008 → 06/2021
    Maxim Group Llc
    New York, NY
  • 11/2008 → Present
    Maxim Financial Advisors
    New York, NY
  • 06/2021 → Present
    Maxim Group Llc
    Miami, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-12
S63 Uniform Securities Agent State Law Examination 2001-01-09
  • S65 Uniform Investment Adviser Law Examination
    2001-02-12
  • S63 Uniform Securities Agent State Law Examination
    2001-01-09
Other Names
  • Adam Ian Wachtel

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
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
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