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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 | 2021-07-23 |
| FL | RA | APPROVED | 2017-11-09 |
| NJ | RA | APPROVED | 2014-03-04 |
Branch Locations
20 Crossways Park Drive North Suite 304, Woodbury, NY 11797 • United States
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 |
|---|---|---|---|---|
| Maxim Group Llc | Woodbury | NY | 10/2002 | Present |
| Maxim Financial Advisors Llc | Woodbury | NY | 02/2006 | Present |
42 High LLC (home/office rental) located at Huntington, NY. Property owner as of 01/2016. Devote appx. one hour during non-securities hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 1990-09-07 |
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