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300 Park Ave 16Th Fl, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-06 |
| FL | RA | APPROVED | 2017-09-15 |
| NJ | RA | APPROVED | 2017-03-23 |
Branch Locations
2 disclosure categories 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 | New York | NY | 03/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-01-28 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-04 |
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