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88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2026-01-02 |
| NJ | RA | APPROVED | 2025-03-11 |
| NY | RA | APPROVED | 2025-01-29 |
Branch Locations
590 Madison Avenue 28Th Floor, New York, NY 10022 • 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 | New York | NY | 08/2016 | Present |
| Maxim Financial Advisors | New York | NY | 06/2017 | 01/2025 |
| Alliance Global Partners | New York | NY | 01/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-12 |
| S63 | Uniform Securities Agent State Law Examination | 1987-05-14 |
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