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William Patrick Rosemond

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 2021-08-06
NJ RA APPROVED 2017-11-01
  • NY RA
    APPROVED
    Since 2021-08-06
  • NJ RA
    APPROVED
    Since 2017-11-01

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 Yes
  • 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 Woodbury NY 10/2002 Present
Maxim Financial Advisors New York NY 10/2017 Present
  • 10/2002 → Present
    Maxim Group Llc
    Woodbury, NY
  • 10/2017 → Present
    Maxim Financial Advisors
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-13
S63 Uniform Securities Agent State Law Examination 1994-04-04
  • S65 Uniform Investment Adviser Law Examination
    2002-07-13
  • S63 Uniform Securities Agent State Law Examination
    1994-04-04
Other Names
  • Liam Rosemond

View on SEC IAPD

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