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Maxim Financial Advisors LLC CRD 139366
$445M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
300 Park Ave 16Th Fl, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-11-29 |
| NJ | RA | APPROVED | 2018-05-31 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-11-27 |
| S63 | Uniform Securities Agent State Law Examination | 2004-11-19 |
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