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Brian Robertson

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 2021-11-29
NJ RA APPROVED 2018-05-31
  • NY RA
    APPROVED
    Since 2021-11-29
  • NJ RA
    APPROVED
    Since 2018-05-31

Branch Locations

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Laidlaw & Co (Uk) Ltd New York NY 10/2010 05/2018
Maxim Group Llc New York NY 05/2018 Present
Maxim Financial Advisors New York NY 05/2018 Present
  • 10/2010 → 05/2018
    Laidlaw & Co (Uk) Ltd
    New York, NY
  • 05/2018 → Present
    Maxim Group Llc
    New York, NY
  • 05/2018 → Present
    Maxim Financial Advisors
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-11-27
S63 Uniform Securities Agent State Law Examination 2004-11-19
  • S65 Uniform Investment Adviser Law Examination
    2021-11-27
  • S63 Uniform Securities Agent State Law Examination
    2004-11-19
Other Names
  • Brian Matthew Robertson

View on SEC IAPD

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