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Michael Brod

Maxim Financial Advisors LLC

New York, NY

CRD 6199273

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Employer firm

Maxim Financial Advisors LLC CRD 139366

$445M regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Maxim Financial Advisors Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-09
  • NY RA
    APPROVED
    Since 2021-08-09

Branch Locations

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Indiana University Bloomington IN 08/2011 Present
Maxim Group New York NY 05/2013 Present
Maxim Financial Advisors 405 Lexington Avenue, 2Nd Fl NY 01/2019 Present
  • 08/2011 → Present
    Indiana University
    Bloomington, IN
  • 05/2013 → Present
    Maxim Group
    New York, NY
  • 01/2019 → Present
    Maxim Financial Advisors
    405 Lexington Avenue, 2Nd Fl, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-26
  • S66 Uniform Combined State Law Examination
    2018-12-26
Other Names
  • Michael Glen Brod

View on SEC IAPD

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ISLET MANAGEMENT, LP · NEW YORK, NY
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